Andrew Topka (CRD#: 5070107) was a dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2006 and previously worked for Kalos Capital, Inc.; Berthel, Fisher & Company Financial Services, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Christopher J. Shaw (CRD # 5011382) is a Financial Advisor at Pruco Securities, LLC in Charlotte, NC. Christopher J. Shaw has been in the securities industry since 2005 and previously worked at Kalos Management and Kalos Capital, Inc. in Belmomt, NC. As previously reported on this blog, the Wolper Law Firm is currently representing investors […]

Josep Roop (CRD # 2774470) is a Financial Advisor at Dempsey Lord Smith, LLC. In Belmont, NC. Joseph Roop has been in the securities industry since 1996 and previously worked at six different brokerage firms including Kalos Capital and Kalos Management (2009-2019), Wachovia Securities, LLC (2008-2009), and Bank of America Investment Servcies, Inc. (2204-2008). Joseph […]

Gary Imel (CRD # 254765) is a Financial Advisor at Kalos Capital, Inc. in Gig Harbor, Washington.  Gary Imel has been in the securities industry since 1975 and previously worked at Madison Avenue Securities.  After leaving Kalos in 2017, Gary Imel briefly worked at Ameriprise Financial. As previously reported on this blog, the Wolper Law […]

Kristian Finfrock (CRD # 5421676) is a Financial Advisor at Kalos Capital, Inc. in Evansville, Wisconsin.  Kristian Finfrock has been in the securities industry since 2007 and previously worked at Metlife Securities. As previously reported on this blog, the Wolper Law Firm is currently representing investors across the country in the recovery of their investment […]

William Sines (CRD #2190586) was a former Financial Advisor at Kalos Capital in Seminole, Florida. William Sines currently works for Berthel Fisher & Co. William Sines has been in the securities industry since the early 1990s and previously worked for SII Investments and Pruco Securities Corp. According to publicly available records released by the Financial […]

Darren Kubiak (CRD # 1239086) is a former Financial Advisor at Kalos Capital, Inc. in Lawrenceville, GA.  Darren Kubiak has been in the securities industry since 1984 and previously worked at Questar Capital, Signator Investors, Inc., Washington Square Securities, Inc., Hornor, Townsend & Kent and First Investors Corporation. The Wolper Law Firm has been retained […]

Joshua Stivers (CRD # 5708565) is a Financial Advisor at Kalos Capital in Austin, Texas.  Joshua Stivers has been in the securities industry since 2014 and previously worked at GF Investment Services.  According to publicly available records, an arbitration was filed before the Financial Industry Regulatory Authority (FINRA) against Kalos Capital and Joshua Stivers arising […]

Eric Weschke is a Financial Advisor at Kalos Capital, Inc. in Setauket, NY.  Eric Weschke has been in the securities industry since 1994 and previously worked at Harrison Douglas, Alternative Wealth Strategies, Equity Services, Self Trading Securities and Tasin & Company. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Eric […]