Category: LPL Financial

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 […]

Bradley Goodbred (CRD#: 3184210) is a previously registered Broker and a previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1999 and previously worked for LPL Financial, LLC; and Banc One Securities Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Christopher Wright (CRD#: 4134973) is a dually registered Broker at Center Street Securities, Inc., and a registered Investment Advisor at Wright Wealth Management Group in Prescott, AZ. Broker’s Background He entered the securities industry in 2000 and previously worked for Multi-Financial Securities Corporation; Linsco/Private Ledger Corp.; and H.D. Vest Investment Services. Current And Past Allegations […]

Kevin McCallum (CRD#: 2222586) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1993 and previously worked for LPL Financial, LLC; NBC Securities, Inc.; Colonial Brokerage, Inc.; and Amsouth Investment Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Michael Barranco (CRD#: 4825738) is a registered Investment Advisor and previously registered Broker. Broker’s Background He entered the securities industry in 2004 and previously worked for LPL Financial, Inc.; and Raymond James Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry […]