Category: LPL Financial

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 […]

Cynthia Ann Giovacchino (CRD#: 3274194) is a registered broker and investment advisor with Osaic Institutions, Inc., in Seymour, CT. Broker’s History She entered the securities industry in 1999 and previously worked with Webster Investment Services, Inc.; Uvest Financial Services Group, Inc.; and LPL Financial LLC. Current and Past Allegations of Conduct Leading to Investment Loss […]

Patrick Dean Louise (CRD#: 5810428) is a registered broker and investment advisor with LPL Financial LLC, in Woodstock, IL. Broker’s History He entered the securities industry in 2010 and previously worked with Fifth Third Securities, Inc. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March of […]

Tyson William 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 Bankcorp Piper Jaffray Inc.; and U.S Bankcorp Investments, Inc. Current and Past Allegations of Conduct […]

Robert Earls, Jr. (CRD#: 1369915) is a previously registered Financial Advisor with LPL Financial, LLC in Roanoke, Virginia.  Broker’s Background Robert Earls, Jr.  entered the securities industry in 1985 and has worked for a number of brokerage firms, including Royal Alliance Associates, Inc., Uvest Investment Services, and most recently, LPL Financial, LLC. Current And Past […]

Angelo Frank Anello (CRD#: 2835091) is a registered broker and investment advisor at LPL Financial LLC in Needham, MA 02494   Broker’s Background He entered the securities industry in 1997 and previously worked with Salomon Smith Barney Inc.; Dreyfus Service Corporation; Quick & Reilly, Inc.; Banc of America Investment Services, Inc.; and Citigroup Global Markets […]

Todd Lesk (CRD#: 2788300) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1997 and previously worked for Cambridge Investment Research, Inc.; LPL Financial LLC; Invest Financial Corporation; Middlebury Securities, LLC; Sterne Agree Financial Services, Inc.; Atlantic Coast Securities Corporation; Livingston Monroe Capital Group, Inc.; G.T. Jeffers & […]

Christopher Nelson Kirkland (CRD#: 5602044) is a registered broker and investment advisor at Avantax Investment Services, Inc., in Atlanta, Georgia.   Broker’s Background Christopher Kirkland entered the securities industry in 2008. He previously worked for LPL Financial, LLC; IFG Advisory, LLC; Legacy Capital Advisors, LLC; and Ameriprise Financial Services, Inc.   Current Allegations of Conduct […]