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Category LPL Financial

Former SII Investments and LPL Financial Broker Paul McGonigle Barred by FINRA After Refusing to Respond to Requests for Information

July 23, 2021

Paul McGonigle (CRD#: 1220690) was a previously registered Broker at LPL Financial, LLC in New Bedford, MA. He entered the securities industry in 1983 and previously worked for SII Investments, Inc; Royal Alliance Associates, Inc.; Integrated Resources Equity Corporation; IDS Financial Services, Inc.; and American Express Financial Advisors, Inc. According to publicly available records released…

Former LPL Financial and Wells Fargo Financial Advisor Mario Rivero, Jr. Barred by FINRA After Refusing to Participate in an Investigation of Alleged Violations

June 23, 2021

Mario Rivero, Jr. (CRD#: 5856503) is a previously registered Broker and Investment Advisor at LPL Financial, LLC in Red Bank, NJ. He entered the securities industry in 2010 and previously worked for Wells Fargo Clearing Services, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021, FINRA sanctioned…

Rhett Bedwell, Previously Registered Financial Advisor at LPL Financial, LLC, Indefinitely Barred by FINRA for Refusing to Cooperate in an Investigation Regarding A Ponzi Scheme

March 21, 2021

Rhett Bedwell (CRD#: 5664392) is a previously registered Investment Advisor and previously registered Broker who was employed by LPL Financial, LLC in Rogers, AR. He entered the securities industry in 2009 and previously worked for Arvest Wealth Management; Investment Professionals, Inc.; Wells Fargo Advisors, LLC; and Edward Jones. According to publicly available records released by…

Rhett Bedwell, Former Investment Advisor at LPL Financial, LLC, Indefinitely Barred by FINRA for Refusing to Provide Information Requested as Part of an Investigation

March 14, 2021

Rhett Bedwell (CRD#: 5664392) was an Investment Advisor at LPL Financial, LLC in Rogers, AR. He entered the securities industry in 2009 and previously worked for Arvest Wealth Management; Investment Professionals, Inc.; Wells Fargo Advisors, LLC; and Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021,…

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