Category: LPL Financial

Michael Mandel (CRD#: 4939165) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2005 and previously worked for LPL Financial, LLC; Royal Alliance Associates, Inc.; and UBS Financial Services, Inc.. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Howell Ferguson (CRD#: 4400990) is a previously registered Broker. Broker’s Background He entered the securities industry in 2001 and previously worked for LPL Financial, LLC; Uvest Financial Services Group, Inc.; DFC Investor Services; and Edward Jones. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Scott Bremus (CRD#: 4073006) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2000 and previously worked for LPL Financial, LLC; Sterne Agee Financial Services, Inc.; Morgan Stanley Smith Barney; Citigroup Global Markets, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations […]

Lee Nordstrom (CRD#: 2248261) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 1992 and previously worked for LPL Financial, LLC; Vorpahl Wing Securities; Partners Investment Network, Inc.; Wells Fargo Advisors, LLC; Prudential Securities, Inc; Painewebber Inc.; and Dean Witter Reynolds, Inc.   According to publicly available records […]

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 […]