Category: Arkadios Capital

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 […]

Mark A. Thompson (CRD#: 4632270) is a dually registered Broker and Investment Advisor at Arkadios Capital in Atlanta, GA. Broker’s Background He entered the securities industry in 2003 and previously worked for ACG Wealth, Inc.; Triad Advisors, Inc.; LPL Financial Corporation; Lincoln Financial Advisors Corporation; and The Lincoln National Life Insurance Company. Current And Past […]

Jeffrey Shaver (CRD#: 2675592) is a previously registered Broker and currently registered Investment Advisor. Broker’s Background He entered the securities industry in 1996 and previously worked for Arkadios Capital; Triad Advisors, Inc; LPL Financial Corporation; Wachovia Securities Financial Network, LLC; Morgan Keegan & Company, Inc.; A.G. Edwards & Sons, Inc.; J.P. Turner & Company, LLC; […]

Joseph P. Young (CRD: 4068656) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1999 and previously worked for Arkadios Capital; Triad Advisors, Inc.; LPL Financial Corporation; Wachovia Securities Financial Network, LLC; Morgan Keegan & Co., Inc.; and Tejas Securities Group, Inc. Current And Past Allegations […]

Mark Reffett (CRD #5894110) is currently a Financial Advisor at Arkadios Capital in Atlanta, GA. Mark Reffett has been in the securities industry since 2012 and previously worked at Triad Advisors, Inc. and Investacorp, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in May 2020, a customer filed a […]

Kevin Rainwater (CRD # 3098443) is a Financial Advisor at Arkadios Capital in Atlanta, Georgia. Seth Stewart has been in the securities industry since 1998 and previously worked at Stancorp Equities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Kevin Rainwater has four disclosed customer complaints, alleging sales practice misconduct. […]