Category: LPL Financial

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 […]

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 […]