Stephen Curtis Lawler (CRD#: 1193477) is a Registered Broker and Investment Advisor at Cetera Advisors LLC, in Peoria, IL. Broker’s Background He entered the securities industry in 1983 and previously worked for First Allied Securities, Inc.; Lawler Financial Advisory Corporation; First Allied Advisory Services, Inc.; Investacorp Inc.; Integrated Resources Equity Corporation; FSC Securities Corporation; and […]

Edward Rosenblatt (CRD#: 2658712) is a Registered Broker and Investment Advisor at Cetera Advisor Networks LLC. Broker’s Background Edward Rosenblatt entered the securities industry in 1997 and has worked for Cetera Advisor Networks LLC and Cetera Investment Advisers LLC since then. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available […]

Timothy Farris (CRD#: 2178521) is a registered broker and investment adviser at Cetera Advisors LLC in West Bloomfield, MI. Broker’s Background Timothy Farris entered the securities industry in 1991 and previously for SPC; Sigma Financial Corporation; Ameriprise Financial Services, Inc.; Ameriprise Advisor Services, Inc.; Pruco Securities Corporation; and the Prudential Insurance Company of America. Current […]

Joshua A. Green is a dually registered Broker and Investment Adviser at Cetera Investment Services LLC in New Port Richey, FL. Broker’s Background He entered the securities industry in 2005 and previously worked for BB&T Investment Services, Inc.; Suntrust Investment Services, Inc.; Wells Fargo Advisors, LLC; Fifth Third Securities, Inc.; WAMU Investments, Inc.; and Intersecurities, […]

Peter Kyung Hoon Rhee (CRD#: 2326728) is a dually registered Broker and Investment Adviser at Cetera Advisors, LLC in Frankfort, IL. Broker’s Background He entered the securities industry in 1995 and previously worked for First Allied Securities, Inc.; First Allied Advisory Services, Inc.; Investment Planners, Inc.; IPI Wealth Management, Inc.; Wells Fargo Advisors, LLC; A.G. […]

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 […]

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 […]

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. […]

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.; […]

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 […]