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Category: Cetera Advisors LLC

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Former Financial Advisor Adam T Marquardt Permanently Barred by FINRA

Adam T. Marquardt (CRD#: 5307192) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2007 and previously worked for Cetera Advisors, LLC; Wells Fargo Advisors Financial Network, LLC; Wells Fargo Advisors, LLC; and A.G. Edwards & Sons, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Former Broker Xinxin Lu is the Subject of a $5 Million Complaint Over Northstar (Bermuda), Beechwood Bermuda Investment

Xinxin Lu (CRD # 6270026) (aka Stella Lu) is a former Financial Adviser at Cetera Investment Services in Cupertino, California. Xinxin Lu was in the securities industry from 2013-2019 and was registered with Cetera Investment Services from 2015-2017. According to publicly available records, an investors filed an arbitration claim against Cetera Investment Services, alleging that […]

Financial Advisor Gerald Fasanella Has Eight Disclosed Complaints

Gerald Fasanella (CRD#: 849312) is a registered Investment Advisor and previously registered Broker. Broker’s Background He entered the securities industry in 1978 and previously worked for Cetera Advisors, LLC; Next Financial Group, Inc.; LPL Financial Corporation; Mutual Service Corporation; AIG Financial Advisors, Inc.; SunAmerica Securities, Inc.; Anchor Management Group, Inc.; and Merrill Lynch, Pierce, Fenner […]

Cetera Advisors Financial Advisor Ronald Whittingham Fined and Suspended by FINRA After Allegations Of Unsuitable Investments Resulting in Investment Loss

Ronald Whittingham (CRD#: 4175525) is a dually registered Broker and Investment Advisor at Cetera Advisors, LLC in Orland Park, IL. Broker’s Background He entered the securities industry in 2000 and previously worked for Opus Wealth Management Group; LPL Financial, LLC; FSC Securities Corporation; Advice Network Consultants, LLC; LPL Financial, LLC; and LaSalle St. Securities, LLC. […]

Suitability Allegations Related to Northstar Bermuda Investment Loss Pending Against Cetera Investment Services Financial Advisor Sarah Komischke

Sarah Komischke (CRD#: 5076489), also known as Xiao Qin Komischke is a dually registered Broker and Investment Advisor at Cetera Investment Services, LLC in New York, NY. Broker’s Background She entered the securities industry in 2006 and previously worked for CommunityAmerica Financial Solutions, LLC; Raymond James Financial Services Advisors, Inc.; Raymond James Financial Services, Inc.; […]

Two Customer Complaints Filed Against Former Cetera Advisors Financial Advisor Todd Ray Anderson

Todd Ray Anderson (CRD#: 1896352) is a dually registered Broker and Investment Advisor at Benchmark Investments, Inc., in Tucson, AZ. He entered the securities industry in 1988 and previously worked for Cetera Advisors, LLC; Geneos Wealth Management, Inc.; Hornor, Townsend & Kent, Inc.; NYLife Securities, Inc.; Metropolitan Insurance Company; and MetLife Securities, Inc. According to […]

Cetera Advisor Networks Financial Advisor Ronnie Metcalf Has Ten Customer Complaint Disclosures, Including Seven Pending Complaints

Ronnie Metcalf (CRD#: 1280602), also known as Ronald D. Franklin Metcalf, Jr. is a dually registered Broker and Investment Advisor at Cetera Advisor Networks, LLC in Greenville, SC. He entered the securities industry in 1986 and previously worked for Voya Financial Advisors, Inc. According to publicly available records released by the Financial Industry Regulatory Authority […]

Lang Phu Nguyen, Investment Advisor at Cetera Advisors LLC, Suspended and Fined for Exercising Discretion Without Authorization

Lang Phu Nguyen (CRD#: 6526189) was an Investment Advisor at Cetera Advisors LLC in Algonquin, IL. He entered the securities industry in 2015 and previously worked for Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021, FINRA sanctioned Lang Phu Nguyen with a 45-day suspension and […]

Former Summit Brokerage Services, Inc Broker, Richard Whitfield Brown, Has Had Nine Customer Complaint Disclosures

Richard Whitfield Brown (CRD # 1595628) is a Financial Advisor at Cetera Advisor Networks LLC in Fort Myers, FL. Richard Whitfield Brown has been in the securities industry since 1988 and previously worked at Summit Brokerage Services, Inc, McDonald Investments, Inc., and Raymond James & Associates, Inc. According to publicly available records released by the […]

Former Cetera Advisor Networks LLC. Broker, Stanley Secor, Barred By FINRA

Stanley Secor (CRD # 1982414) was a Financial Advisor at Cetera Advisor Networks LLC in Salt Lake City, UT. Stanley Secor has been in the securities industry since 1989 and previously worked at Girard Securities, Inc., Securian Financial Services, Inc., and WS Griffith Securities, Inc. According to publicly available records released by the Financial Industry […]