Jeffrey Shaver (CRD#: 2675592) is a previously registered Broker and currently registered Investment Advisor. Broker’s Background He entered the securities industry in 1996 and previously worked for Arkadios Capital; Triad Advisors, Inc; LPL Financial Corporation; Wachovia Securities Financial Network, LLC; Morgan Keegan & Company, Inc.; A.G. Edwards & Sons, Inc.; J.P. Turner & Company, LLC; […]

Arthur Grossbard (CRD#: 1020971) is a dually registered Broker and Investment Advisor at Ameriprise Financial Services, LLC in West Orange, NJ. Broker’s Background He entered the securities industry in 1982 and previously worked for Royal Alliance Associates, Inc.; New Century Financial Group, LLC; Financial Network Investment Corporation; and Pennsylvania Securities Company. Current And Past Allegations […]

John Mateyko (CRD#: 3275621) is a dually registered Broker and Investment Advisor at Peachcap Securities, Inc. in Serenbe, GA, and Peachcap Tax & Advisory, LLC in Atlanta, GA. Broker’s Background He entered the securities industry in 2000 and previously worked for World Equity Group, Inc.; Fifth Third Securities, Inc.; Chase Investment Services Corp.; U.S. Bancorp […]

Customer Complaint Pending Against Private Client Services Financial Advisor Steven Vander Velde After Alternative Investments Loss Steven Vander Velde (CRD#: 5493806) is a dually registered Broker and Investment Advisor at Private Client Services, LLC in Flower Mound, TX and Prime Capital Investment Advisors, LLC in Dallas, TX. Broker’s Background He entered the securities industry in […]

Brian Marston (CRD#: 733083) is a dually registered Broker and Investment Advisor at Woodbury Financial Services, Inc. in Greenwood Village, CO. He entered the securities industry in 1981 and previously worked for RMN Securities, Inc.; Next Financial Group, Inc.; National Planning Corporation; Pruco Securities Corp.; and The Prudential Insurance Company of America..   According to […]

Jamie Marie Cooke (CRD#: 1969380) is a previously registered Broker and previously registered Investment Advisor. She entered the securities industry in 1989 and previously worked for Voya Financial Adivsors, Inc.; Triad Advisors, LLC; Allstate Financial Services, LLC; NYLife Securities, Inc.; NYLife Distributors, Inc.; Guardian Investor Services Corporation; SIFE; Intersecurities, Inc.; and Federation for Financial Independence. […]

Peter Kalmus (CRD#: 1522531) is a registered Broker at IBN Financial Services, Inc. in Liverpool, NY. He entered the securities industry in 1986 and previously worked for Concorde Investment Services, LLC; DFPG Investments, Inc.; VFG Securities, Inc.; Omni Brokerage, Inc; Lion’s Group Trading, LLC; Andover Brokerage, LLC; Worldco, LLC; MML Investors Services, Inc.; Prime Capital […]

William Johnson (CRD#: 3174473) is a dually registered Broker and Investment Advisor at Cadaret, Grant & Co., Inc., in Greenville, SC. He entered the securities industry in 1999 and previously worked for Voya Financial Advisors, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2021, a customer complaint […]

Robert Stanlick (CRD#: 2411358) is a dually registered Broker and Investment Advisor at Geneos Wealth Management, Inc., in Colorado Springs, CO. He entered the securities industry in 1993 and previously worked for Presidential Brokerage, Inc.; U.S. Bancorp Piper Jaffray, Inc.; Allmerica Investments, Inc.; CUNA Brokerage Services, Inc.; New England Securities, Inc. According to publicly available […]

Justin Dolan (CRD#: 4987385) is a dually registered Broker and Investment Advisor at Charles Schwab & Co., Inc., in St. Augustine, FL. He entered the securities industry in 2005 and previously worked for J.W. Cole Advisors, Inc.; LPL Financial LLC; Cetera Advisors, LLC; Fifth Third Securities, Inc.; Wells Fargo Advisors, LLC; Merrill Lynch, Pierce, Fenner […]