Eric Coombs (CRD#: 2743447) is a registered broker with Nationwide Investment Services Corporation in Columbus, OH.   Broker’s Background He entered the securities industry in 2006 and previously worked with Nationwide Investment Advisors, LLC and The Huntington Investment Company and Financial advisors.   Allegations of Misconduct According to publicly available records released by the Financial […]

Angelo Frank Anello (CRD#: 2835091) is a registered broker and investment advisor at LPL Financial LLC in Needham, MA 02494   Broker’s Background He entered the securities industry in 1997 and previously worked with Salomon Smith Barney Inc.; Dreyfus Service Corporation; Quick & Reilly, Inc.; Banc of America Investment Services, Inc.; and Citigroup Global Markets […]

David Bruce McMillen (CRD#: 1198070) is a registered broker and investment advisor at Capital Securities, L.P in Boulder, CO.   Broker’s Background   He entered the securities industry in 1983, and previously worked with First Investors Corporation; Interfinancial Securities, Inc.; The Equitable Life Assurance Society of the United States; Equico Securities, Inc.; The Lincoln National […]

Thomas Burgess Hamlin (CRD#: 2208505) is a registered broker and investment advisor with Somerset Securities, Inc., in Portland, OR.   Broker’s Background He entered the securities industry in 1992 and previously worked with Advantage Capital Corporation; Spelman & Co., Inc.; Prudential Securities Incorporated; and Raymond James Financial Services.   Current and Past Allegations Leading to […]

Brian Campion Stern (CRD#: 3137402) is a registered broker and investment advisor with OSAIC Wealth, Inc. in Rochester, MN.   Broker’s Background He entered the securities industry in 1998 and has previously worked with Transamerica Financial Advisors, Inc.; and Signator Investors, Inc.   Allegations of Misconduct According to publicly available records released by the Financial […]

Matthew Steinberg (CRD#: 2430032) is a registered broker and investment advisor at Oppenheimer & Co. Inc. in Jenkintown, PA.   Broker’s Background He entered the securities industry in 1993 and has previously worked with Dean Witter Reynolds Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Gary Thomas Hughes (CRD# 1700976) is a registered investment advisor at Hughes Wealth Management Incorporated in Hermosa Beach, CA. He was previously a registered broker.   Broker’s Background He entered the securities industry in 1987 and previously worked with Yaeger Securities, Dean Witter Reynolds Inc.; BA Investment Services, Inc.; United Pacific Securities, Inc.; Brokers Transaction […]

Bernard F. Jasmin (CRD#: 4442394) is a previously registered broker.   Broker’s Background He entered the securities industry in 2002 and previously worked with J.P Turney & Company, LLC; National Securities Corporation; Aura Financial Services, Inc.; Empire Asset Management Company; and PHX Financial, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss […]

Andrew David Schell (CRD#:6536347) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2015 and previously worked for Merril Lynch, Pierce, Fenner & Smith Incorporated and D.A Davidson & Co. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

William Wade Godfrey (CRD#:2447660) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1994 and previously worked for John Hancock Mutual Life Insurance Company; Fahnestock & Co., Inc.; Ameritas Investment Corp.; American General Financial Advisors, Inc.; Public Employees Equities Services Company; Ameritas Investment Corp.; Equitable Advisors, LLC; Thrivent […]