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Category: Madison Avenue Securities

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Financial Advisor Ann Werts Has Three Disclosed Customer Complaints

Ann Werts (CRD#: 5057784) is a dually registered Investment Advisor and Broker at Madison Avenue Securities, LLC in Lakewood, CO. Broker’s Background She entered the securities industry in 2006 and previously worked for CL Wealth Management, LLC; Cabot Lodge Securities, LLC; Allied Beacon Partners, Inc.; Titan Securities; Community Bankers Securities, LLC; Securities America Advisors, Inc.; […]

Did You Purchase GPB Capital Holdings From Former Madison Avenue Securities Broker, Robert Luley, Jr.?

Robert Luley, Jr. (CRD # 4176139) was a Financial Advisor at Madison Avenue Securities in Clover, South Carolina. Robert Luley, Jr. has been in the securities industry since 2000 and previously worked at Steele Allstate Financial Advisors, Park Avenue Securities and NFP Securities. Robert Luley, Jr. currently works at Pruco Securities and is dually registered […]

Did Former Madison Avenue Securities Broker, Robert Luley Jr., Sell You GPB Capital Holdings?

Robert Luley Jr. (CRD # 4176139) is a Financial Advisor at Pruco Securities in Charlotte, NC. Robert Luley Jr. has been in the securities industry since 2000 and previously worked at Madison Avenue Securities, LLC, Allstate Financial Advisors, LLC, Park Avenue Securities, LLC, and NFP Securities, LLC. According to publicly available records released by the […]

Madison Avenue Securities Broker, Jeffrey Dixson, Has Five Disclosed Customer Complaints, Including Two Pending Complaints, Alleging Sales Practice Misconduct.

Jeffrey Dixson (CRD # 4166311) is a Financial Advisor at Madison Avenue Securities in Vancouver, Washington.  Jeffrey Dixson has been in the securities industry since 2000 and previously worked at Pacific West Securities and Intersecurities, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Jeffrey Dixson has had five customers […]

Former Center Street Securities Financial Advisor, Satya Shaw, Has Four Customer Complaints And Nine Regulatory Disclosures On His CRD

Satya B. Shaw (CRD # 1229175) was a Financial Advisor at Center Street Securities, Inc. in Wesley Chapel, FL.  Satya Shaw has been in the securities industry since 1984 and previously worked at Madison Avenue Securities, AXA Advisors, MONY Securities, NYLife Securities, Corwall Securities and Lakshmi Investment Corp. According to publicly available records released by […]

Madison Avenue Securities Broker, David Barber, Barred By FINRA For Unauthorized Trading

The Wolper Law Firm is currently investigating claims against David Barber, a former Financial Advisor at Madison Avenue Securities in San Diego, CA.  David Barber has been in the securities industry since the 1980s and previously worked at Fist Midwest Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Madison Avenue Securities Financial Advisor, James Geake, Has Pending Customer Complaint For Allegedly Recommending Unsuitable Investments

The Wolper Law Firm is currently investigating claims against James Geake, a Financial Advisor at Madison Avenue Securities in Skokie, Illinois.  James Geake has been in the securities industry since 1995 and previously worked at American General Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 27, 2018, […]