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Category: Independent Financial Group

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Independent Financial Group Financial Advisor Jerry Tuma Has Five Disclosed Customer Complaints

Jerry Tuma (CRD#: 730104) is a dually registered Broker and Investment Advisor at Independent Financial Group, LLC in Dallas, TX. Broker’s Background He entered the securities industry in 1981 and previously worked for Independent Financial Group, LLC; Cambridge Legacy Securities, LLC; AIG Financial Advisors, Inc.; SunAmerica Securities, Inc.; Anchor National Financial Services, Inc.; and Waddell […]

Independent Financial Group Financial Advisor Donovan Kelly Suspended By FINRA

Donovan Kelly (CRD#: 2622366) is a dually registered Broker and Investment Advisor at Independent Financial Group, LLC in Billings, MT. Broker’s Background He entered the securities industry in 1995 and previously worked for Pacific West Financial Consultants, Inc.; Pacific West Securities, Inc.; Raymond James Financial Services Advisors, Inc.; Raymond James Financial Services, Inc.; Royal Alliance […]

Independent Financial Group, LLC Broker, Brett Hartvigson, Has Had Four Customer Complaint Disclosures Alleging Sales Practice Misconduct

Brett Hartvigson (CRD # 2263087) is a Financial Advisor at Independent Financial Group, LLC in San Diego, CA. Brett Hartvigson has been in the securities industry since 1992 and previously worked at LPL Financial Corporation, Thrivent Investment Management Inc., and Lutheran Brotherhood Securities Corp. According to publicly available records released by the Financial Industry Regulatory […]

Independent Financial Group Broker, Tatyana Bunich, Has Had Two Customer Complaint Disclosures Since June 2020

Tatyana Bunich (CRD# 2288860) is a Financial Advisor at Independent Financial Group in Columbia, MD. Tatyana Bunich has been in the securities industry since 1992 and previously worked at 14 different brokerage firms including CL Wealth Management LLC, Cabot Lodge Securities LLC, and FINRA expelled Allied Beacon Partners, Inc. According to publicly available records released […]

Independent Financial Group Broker, Kenneth Guerra, Has A Pending Customer Complaint Involving The Sale Of Alternative Investments

  Kenneth Guerra (CRD # 1337062) is a Financial Advisor at Independent Financial Group in Grants Pass, Oregon. Kenneth Guerra previously worked at ING Financial Partners. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September 5, 2019, a customer complaint was reported against Kenneth Guerra, alleging “despite ttheir stated […]

Independent Financial Group Financial Advisor, Brian Lockett, Has Nine Customer Complaints And A FINRA Suspension Reported On His CRD

Brian Joseph Lockett (CRD # 4573162) is a Financial Advisor at Independent financial Group, LLC in Lynnwood, WA.  Brian Lockett has been in the securities industry since 2002 and previously worked at Geneos Wealth Management, Inc. and Commonwealth Financial Network. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Brian Lockett […]

Independent Financial Group Broker, Shimshon Plotkin, Has Seven Customer Complaint Disclosures, Alleging Sales Practice Violations

Shimshon Plotkin is a Financial Advisor at Independent Financial Group, LL in Chevy Chase, Maryland.  Shimshon Plotkin has been in the securities industry since 1994 and previously worked at Cambridge Investment Research.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Shimshon Plotkin has been the subject of seven customer complaint […]

Financial Advisor, Wenjinn Chang, Has Had Two Customer Complaints In 2018 Alleging Sales Practice Violations

The Wolper Law Firm is currently investigating claims against Wenjinn James Chang, a Financial Adviser at Independent Financial Group in Rockville, Maryland.  Wenjinn Chang has been in the securities industry since 2002 and previously worked at Ameritas Investment Corp.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in 2018, […]

Financial Advisor, Robert Jamison II, Barred By FINRA For Allegedly Referring Customers To An Unregistered Person In Order To Make Investments

The Wolper Law Firm is currently investigating claims against Robert Jamison II (CRD  5793591),a Financial Adviser at Independent Financial Group in Salinas, California and PNC Investments in Atlanta, Georgia.  Scott Dolven has been in the securities industry since 2010. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 12, […]

Financial Advisor, John Pariser, Barred By FINRA For Failing To Cooperate In FINRA Investigation

The Wolper Law Firm is currently investigating claims against John Pariser, a former Financial Adviser at Independent Financial Group in Pacific Grove, California.  John Pariser has been in the securities industry since the 1990s and previously worked at SWS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]