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 […]

Mark Gillelen (CRD#: 1868626) is a registered broker and Investment Advisor at LPL Financial LLC in Redwoord City, CA. Broker’s Background He entered the securities industry in 1989 and previously worked for Cetera Investment Advisers, LLC; First Allied Securities, Inc; First Allied Advisory Services, Inc; Morgan Stanley Smith Barney; Morgan Stanley & Co. Incorporated; Banc […]

John Brian Lee (CRD#: 2950037) is a registered broker and financial advisor at LPL Financial LLC, in Fort Worth, TX. Broker’s Background: John Lee entered the securities industry in 1999. He previous worked for Cambridge Investment Research Advisors, Inc; MML Investors Services, LLC; Northwestern Mutual Investment Services, LLC; Northwestern  Mutual Wealth Management Company; Nationwide Securities; […]

John A. Dougherty (CRD#: 3018615) was a previously registered broker and investment advisor at LPL Financial LLC, in Bluebell, PA. Broker’s Background He entered the securities industry in 1998 and previously worked for LPL Financial LLC; Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith Incorporated; New England Securities; LPL Financial Corporation; Wachovia […]

Bradley Wastler (CRD#: 868378) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1979 and previously worked for LPL Financial, LLC; Invest Financial Corporation; PFIC Securities Corporation; Fiserv Investor Services, Inc.; Tradestar Investments, Inc.; and Edward D. Jones & Co., L.P. Current And Past Allegations Of […]

Christopher J. Carpenter (CRD#: 6601132) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 2016 and previously worked for LPL Financial, LLC; Spire Securities, LLC; Janney Montgomery Scott, LLC; and Stifel, Nicolaus & Co., Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According […]

Eileen Cure is a previously registered Broker and previously registered Investment Adviser. Broker’s Background She entered the securities industry in 1992 and previously worked for LPL Financial, LLC; HD Vest Investment Services; Investment Management & Research, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Robert T. Li (CRD#: 4068255) is a dually registered Broker and Investment Adviser at LPL Financial, LLC, in Naperville, IL. Broker’s Background He entered the securities industry in 1999 and previously worked for Wachovia Securities, LLC; and Prudential Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records […]

Eileen Cure (CRD#: 2224269) is a previously registered Broker and an Investment Adviser. Broker’s Background She entered the securities industry in 1992 and previously worked for LPL Financial, LLC; HD Vest Investment Services; Investment Management & Research, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment […]