Eric Hollifield (CRD#: 3091319) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 1998 and previously worked for LPL Financial, LLC; Sterne Agee Financial Services, Inc.; H&R Block Financial Advisors, Inc; and Merrill Lynch, Pierce, Fenner & Smith, Inc.   According to publicly available records released by the […]

Nicholas Travascio (CRD#: 2581756) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 1995 and previously worked for LPL Financial LLC; WM Financial Services, Inc.; Griffin Financial Services; Wells Fargo Securities, Inc.; Edward D. Jones & Co., LP; and Olde Discount Corporation. According to publicly available records released […]

Paul McGonigle (CRD#: 1220690) was a previously registered Broker at LPL Financial, LLC in New Bedford, MA. He entered the securities industry in 1983 and previously worked for SII Investments, Inc; Royal Alliance Associates, Inc.; Integrated Resources Equity Corporation; IDS Financial Services, Inc.; and American Express Financial Advisors, Inc. According to publicly available records released […]

Mario Rivero, Jr. (CRD#: 5856503) is a previously registered Broker and Investment Advisor at LPL Financial, LLC in Red Bank, NJ. He entered the securities industry in 2010 and previously worked for Wells Fargo Clearing Services, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021, FINRA sanctioned  […]

James Couture (CRD#: 4406284) was an Investment Advisor at LPL Financial, LLC in Worcester, MA. He entered the securities industry in 2001 and previously worked for Lincoln Financial Securities Corporation; New England Securities; and Morgan Stanley DW, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2020, FINRA […]

Arthur Obermeier (CRD No. 350245), was a Financial Advisor with LPL Financial LLC. LPL filed a Uniform Termination Notice of Securities Industry Regulation (Form U5) on May 23, 2019; the reason stated for Arthur Obermeier’s discharge was “[e]xercising discretion in client accounts without authorization.” Upon FINRA’s review of the document, the agency moved to action. […]

Michael Tavel (CRD #6413) was a registered financial advisor at LPL Financial LLC from 2004-2019. Michael Tavel was also dually registered as an investment adviser. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 9, 2020, Michael Tavel was suspended for 18 months and fined $20,000 for allegedly participating […]

David Taddeo (CRD # 1163829) is a Financial Advisor at LPL Financial LLC in La Mesa, CA. David Taddeo has been in the securities industry since 1983 and previously worked at Financial Network Investment Corporation and American Pacific Securities Corporation. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), David Taddeo […]

Kevin Fretz (CRD # 4128808) was a Financial Advisor at LPL Financial LLC in South Windsor, CT. Kevin Fretz has been in the securities industry since 2000 and previously worked at Uvest Financial Services Group, Inc., Webster Investment Services, Inc., Phoenix Equity Planning Corporation, American Express Financial Advisors Inc., and IDS Life Insurance Company. According […]

Norman Batansky (CRD # 834388) is currently registered at Peak Brokerage Services, LLC in Jupiter, FL and Blackridge Asset Management, LLC in Boca Raton, FL. Norman Batansky has been in the securities industry since 1977. Norman Batansky previously worked at Private Advisor Group, LLC and LPL Financial LLC in King of Prussia, PA. Norman Batansky […]