Category: Cetera Advisors LLC

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 […]

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 (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 […]

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 […]