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Category: Arkadios Capital

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Financial Advisor Mark A. Thompson Has Three Disclosed Customer Complaints

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 […]

Financial Advisor Jeffrey Shaver Has Four Disclosed Customer Complaints

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; […]

Former Arkadios Capital Financial Advisor Joseph P. Young Has Three Customer Complaints

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 […]

Former Triad Advisors, Inc Broker, Mark Reffet, Is The Subject Of A Customer Complaint Alleging Over $1.5 Million In Damages

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 […]

Arkadios Capital Financial Advisor, Kevin Rainwater, Has Four Disclosed Customer Complaints, And Tax Liens

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. […]

Did You Purchase GPB Capital Holdings Issued Securities Through Financial Advisor Michael Sievert?

Michael Sievert (CRD # 2127441) is a registered Financial Advisor at Arkadios Capital in Jacksonville, FL. Michael Sievert has been in the securities industry since the early 1990s and previously worked at Triad Advisors and Lincoln Financial Advisors Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), two customers filed […]