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Category: Sagepoint Financial, Inc.

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Sagepoint Financial Advisor Cynthia Komarek Barred by FINRA After Refusing Request for Information During Investigation For Making Referrals To Outside Manager

Cynthia Komarek (CRD#: 1188714), also known as Cynthia Brown, Cynthia Brown Komarek, and Cynthia Brown Pearson) was a previously registered Broker and Investment Advisor at Sagepoint Financial, Inc., in Barrington, IL. She entered the securities industry in 1983 and previously worked for Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Inc.; Lehman […]

Sagepoint Financial Advisor, Gary Bowman, Sanctioned By FINRA For Unit Investment Trust Violations?

Gary Bowman (CRD 2035699) has been in the securities industry since 1990 and is currently registered with Sagepoint Financial. Gary Bowman was previously registered with Arque Capital and Fox & Co. Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 1, 2021, Gary Bowman was sanctioned by FINRA […]

SagePoint Financial Advisor Grant Birkley Barred by FINRA After Refusing to Aid Investigation into Allegedly Referring Customers To Outside Asset Manager

Grant Birkley (CRD#: 2933533) is a previously registered Broker and Investment Advisor at SagePoint Financial, Inc. in Barrington, IL. He entered the securities industry in 1998 and previously worked for Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Incorporated; and Shepherd Financial Group, LLC. According to publicly available records released by the […]

Former Sagepoint Financial, Inc. Broker, Troy Baily, Supsended by FINRA For Six Months and Fined $5,000 For Allegedly Engaging In Unapproved Private Securities Transactions

Troy Baily (CRD# 4458930) was registered advisor at Sagepoint Financial, Inc. in Omaha, NE. Troy Baily was in the securities industry from 2001 to 2018. Troy Baily previously worked for AXA Advisors, LLC, Proequities, Inc., Ameritas Investment Corp., Vision, and Centarus Financial, Inc. According to publicly available records released by the Financial Industry Regulatory Authority […]

Lucia Securities, LLC Broker, Scot Fairchild, Has Had Two Customer Complaint Disclosures Since January 2019

Scot Fairchild (CRD # 2323211) is a Financial Advisor at Lucia Securities, LLC in Henderson, NV. Scot Fairchild has been in the securities industry since 1993 and previously worked at Sagepoint Financial, INC, Success Financial Advisors, LLC, and Sunamerica Securities, INC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Sagepoint Financial Broker, Timothy Vanlohuizen, Has Six Disclosed Customer Complaints Alleging Various Sales Practice Violations

Timothy Jan Vanlohuizen (CRD # 2166867) is a Financial Advisor at Sagepoint Financial, Inc. in Coeur d’Alene, ID. Timothy Vanlohuizen has been in the securities industry since 1991 and previously worked at SunAmerica Securities, Inc., Multi-Financial Securities Corporation and Waddell & Reed, Inc. According to publicly available records released by the Financial Industry Regulatory Authority […]

FINRA Sanctioned Broker, Jerry M. Wells, For Allegedly Misrepresenting Variable Annuities

Jerry Michael Wells (CRD # 1015358) is a Financial Advisor at SagePoint Financial, Inc. in Rochester, NY. Jerry Wells has been in the securities industry since 1982 and previously worked at MetLife Securities, Inc., Pruco Securities Corporation, Prudential Insurance Company of America, and Brent Capital Corp. According to publicly available records released by the Financial […]

FINRA Barred Financial Advisor, Alberto Sanchez, For Failing To Cooperate In An Investigation Regarding Selling Away

Alberto Sanchez was a former Financial Advisor at Sagepoint Financial, Inc., MML Investors Services, LLC and Principal Securities, Inc. in Fort Lauderdale, FL  Alberto Sanchez entered the securities industry in 2002 and previously worked at Metlife Securities.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 3, 2019, Alberto […]

Sagepoint Financial Broker, Christopher Bice, Has Four Customer Complaints, Including Two Pending Complaints, Alleging Sales Practice Violations

Christopher Bice is a Financial Advisor at Sagepoint Financial, Inc. in Greensborough, North Carolina.  Christopher Bice entered the securities industry in 1999 and previously worked at Sunamerica Securities in Phoenix, Arizona.    According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Christopher Bice has four customer complaint disclosures and an employment […]