Category: LPL Financial

Broker’s Background   David Taddeo (CRD #: 1163829) was formerly registered both as a broker and as an investment adviser.  He was previously located in La Mesa, CA.  Taddeo was most recently employed by LPL Financial LLC.   Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Broker’s Background   Steven Jay Kibbel  (CRD #: 6800914) was previously registered with LPL Financial  LLC, based in Nashville TN. Kibbel  has also been previously employed by Merrill Lynch.   Current Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA) from November 2025, […]

Michael Clifford Graham (CRD#: 3263494) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1999 and previously worked with Securian Financial Services, Inc.; Principal Securities, Inc.; and LPL Financial LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

Richard Allen Ceffalio Jr. (CRD#:2619565) is a registered investment advisor with Newedge Advisors in Arlington Heights, IL. Broker’s History He entered the securities industry in 1995 and previously worked with Citicorp Investment Services; A.G. Edwards & Sons, Inc.; Wachovia Securities, LLC; UBS Financial Services, Inc.; Wells Fargo Clearing Services, LLC; and LPL Financial LLC. Current […]

Richard John Urciuoli (CRD#: 1239283) is a registered investment advisor with Summit Planning Group, Inc. in E. Syracuse, NY. Broker’s History He entered the securities industry in 1984 and previously worked with MHA Financial Corp.; Linsco Financial Group, Inc.; and LPL Financial LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to […]

David Lee Jerke (CRD#: 5129935) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2006 and previously worked with KMS Financial Services, Inc.; Securities America, Inc.; and LPL Financial LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

Michael Clifford Graham (CRD#: 3263494) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1999 and previously worked with Securian Financial Services, Inc; Principal Securities, Inc.; and LPL Financial LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

Michael Clifford Graham (CRD#: 3263494) is a registered broker and investment advisor with LPL Financial LLC in El Paso, TX. Broker’s History He entered the securities industry in 1999 and previously worked with Securian Financial Services, Inc.; and Principal Securities, Inc. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available […]

John Nicholas Matson (CRD#: 1796541) was a previously registered broker and investment advisor.   Broker’s History He entered the securities industry in 1996 and previously worked with Merril Lynch, Pierce, Fenner & Smith Incorporated; Citigroup Global Markets Inc.; LPL Financial LLC; and Ameriprise Financial Services, Inc.   Allegations of Misconduct According to publicly available records […]

Tyson Allred (CRD#: 3081010) is a registered broker and investment advisor with LPL Financial LLC in Portland, OR. Broker’s History He entered the securities industry in 1998 and previously worked with Phillips & Company Securities, Inc.; Bidwell & Company; U.S Bancorp Pipe Jaffray Inc.; and U.S Bancorp Investments, Inc. Current and Past Allegations of Conduct […]