Category: Purshe Kaplan Sterling

Colleen Maron (CRD#: 2211633) was a previously registered broker and investment advisor. Broker’s History She entered the securities industry in 1992 and previously worked with W.S Griffith & Co., Inc.; WS Griffith Securities, Inc.; Phoenix Equity Planning Corporation; MML Investors Services, LLC; PKS Advisory Services, LLC; and Purshe Kaplan Sterling Investments. Allegations of Misconduct According […]

Lee Taylor (CRD#: 3045030) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2010 and previously worked for Purshe Kaplan Sterling Investments; Next Financial Group, Inc.; IDS Life Insurance Company; and Ameriprise Financial Services, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Gopi Vungarala (CRD # 4856193) was a Financial Advisor at Purshe Kaplan Sterling Investments in Midland, MI from 2007 to 2017. Gopi Vungarala worked for American General Securities Incorporated from 2004 to 2017. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on February 4, 2016, Gopi Vungarala was barred by […]