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George Ndifor Jing (CRD#: 2835725) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1997 and previously worked with WMA Securities, Inc; World Group Securities, Inc.; and Transamerica Financial Advisors, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Eric Brian Kleiner (CRD#: 4135180) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2000 and worked with Prudential Securities Incorporated; Wells Fargo Advisors, LLC; and Morgan Stanley. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the Financial Industry […]

Vincent Thomas Ferrara Jr. (CRD#: 1791902) is a registered broker and investment advisor with Ameriprise Financial Services, LLC in Garden City, NY. Broker’s History He entered the securities industry in 1988 and previously worked with Sherwood Capital, Inc.; J.T. Morgan & Co., Inc.; The Prudential Insurance Company of America; Pruco Securities Corporation; Financial Horizons Securities […]

Nathan Goad (CRD#: 5421740) is a registered broker and investment advisor with J. Alden Associates, Inc. in Wayne, PA. Broker’s History He entered the securities industry in 2007 and previously worked with Intersecurities, Inc.; Transamerica Financial Advisors, Inc.; ARS Wealth Advisors; Cetera Investment Services, LLC; Alden Capital; and Total Solutions Enterprise. Current and Past Allegations […]

Jihoon L. Park (CRD#: 6535514) was a previously registered broker. Broker’s History He entered the securities industry in 2016 and previously worked with MML Investors Services, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2025, Jihoon Park […]

Michael Jerome Lickiss (CRD#: 5135936) is a registered investment advisor with Pacific Wealth Advisory Services, LLC, in Danville, CA. Broker’s History He entered the securities industry in 2016 and previously worked with Resource Investment Architects, Inc.; Investment Architects, Inc.; Arkadios Capital; Arkadios Wealth Advisors; and Purshe Kaplan Sterling Investments. Current and Past Allegations of Conduct […]

Zhi Ying Guan (CRD#: 7000349) is a registered broker and investment advisor with Emerson Equity LLC in San Mateo, CA. Broker’s History He entered the securities industry in 2020 and has worked with Emerson Equity LLC since then. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Victor Carmine Sibilla (CRD#: 1783361) is a registered broker with Westpark Capital, Inc. in Boca Raton, Florida. Broker’s History He entered the securities industry in 1988 and previously worked with The Stuart-James Company, Incorporated; RAF Financial Corporation; VTR Capital, Inc., (FINRA Expelled this firm in 2001); Joseph Charles & Assoc., Inc.; Sterling Financial Investment Group, […]

Joseph Frederick Eschleman (CRD#: 3237843) is a registered broke and investment advisor with Purshe Kaplan Sterling Investments in Sacramenta, CA. Broker’s History He entered the securities industry in 1999 and previously worked with Prudential Securities Incorporated; and Wells Fargo Clearing Services, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly […]

Joshua Aaron Green (CRD#: 4970616) is a registered broker and investment advisor with Cetera Investment Services, LLC, in New Port Richey, FL. Broker’s History He entered the securities industry in 2005 and previously worked with Intersecurities, Inc.; Wamu Investments, Inc.; Fifth Third Securities, Inc.; Wells Fargo Advisors, LLC; Suntrust Investment Services, Inc.; and BB&T Investment […]