Michael Patrick Raineri (CRD#: 4817558) was a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2006 and he previously worked with Pacific West Securities, Inc.; Cetera Advisors, LLC; KMS Financial Services, Inc.; and Securities America, Inc.   Allegations of Misconduct According to publicly available records released by the […]

Alan Douglass (CRD#: 1619835) is a registered Broker at Securities America, Inc. in Clearwater, FL. Broker’s Background He entered the securities industry in 1987 and previously worked for Investacorp, Inc.; Meridian, Dunhill & Co., Inc.; Monmouth Investments, Inc.; Barron Chase Securities, Inc.; Lehman Brothers, Inc.; Hanifen, Imhoff Securities Corp.; Graystone Nash, Inc.; Thomas James Associates, […]

Sanjay Bhargava (CRD: 4495397) is a dually registered Broker and Investment advisor at Regulus Financial Group, LLC in Independence, OH. Broker’s Background He entered the securities industry in 2003 and previously worked for Arbor Point Advisors; Securities America, Inc.; JK Investment Group, Inc.; Securities America Advisors, Inc.; QA3 Financial Corp.; QA3 Financial, LLC; and C. […]

Ronald Roach (CRD # 3216784) was a former Financial Advisor at Securities America in Walnut Creek, California. Ronald Roach has been in the securities industry since 1999 and previously worked at Brecek & Young Advisors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 23, 2019, Securities America terminated […]

Jaime Westenbarger (CRD # 4625703) was a Financial Advisor at Securities America in Grand Rapids, Michigan.  Jaime Westenbarger has been in the securities industry since 2003 and previously worked at First Allied Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August 2019, Jaime Westenbarger was terminated by Securities […]

Bobby Coburn (CRD # 1464789) is a former Financial Advisor at Securities America, Inc. in Fort Meade, FL.  Bobby Coburn has been in the securities industry since 1998 and previously worked at Brecek & Young Advisors, Inc., Legend Equities Corporation, Nationwide Securities, Inc., Walnut Street Securities, Inc., North American Management, Inc. and Ameritas Investment Corp.  […]

Andrew Burdsall is a Financial Advisor at Securities American in Jeffersonville, IN.  Andrew Burdsall has been in the securities industry since 1999 and previously worked at Ameriprise Financial Services and LDS Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Andrew Burdsall has five customer complaints disclosed on […]

The Wolper Law Firm, P.A. iscurrently investigating claims against Michael Dennis Jackson (CRD  2784958),a former Financial Adviser at Securities America in University Place,Washington.  Michael Dennis Jackson has been in the securities industry since the 1990s and previously worked at Brecek & Young Advisors. According to publicly available records released by the Financial Industry Regulatory Authority […]

The Wolper Law Firm, P.A. is currently investigating claims against Hector May, a former Financial Advisor at Securities America in New City, NY.  Hector May has been in the securities industry since 1973 and previously worked at Prime Capital Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March […]

The Wolper Law Firm, P.A. is currently investigating claims against Giustino Destafano, a former Financial Advisor at Securities America in Williamsville, NY.  Matthew Eckstein first entered the securities industry in 2005 and previously worked for Merrill Lynch, Wachovia Securities and Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]