Category: Purshe Kaplan Sterling

Joseph Frederick Eschleman (CRD#: 3237843) is a registered broke and investment advisor with Purshe Kaplan Sterling Investments in Sacramenta, CA. Broker’s History He entered the securities industry in 1999 and previously worked with Prudential Securities Incorporated; and Wells Fargo Clearing Services, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly […]

Philip Allen Simonides (CRD#: 1847411) is a registered broker and investment advisor with Madison Avenue Securities, LLC in Vienna, VA. Broker’s History He entered the securities industry in 1988 and previously worked with IDS Life Insurance Company; Ameriprise Advisor Services, Inc.; Voya Financial Advisors, Inc.; and Purshe Kaplan Sterling Investments. Allegations of Misconduct According to […]

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 […]