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Tag: Alternative Investments

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Financial Advisor Brett Hartvigson (Independent Financial Group, LLC) Customer Complaints

Brett Hartvigson (CRD # 2263087) is a Financial Advisor at Independent Financial Group, LLC in San Diego, CA. Brett Hartvigson has been in the securities industry since 1992 and previously worked at LPL Financial Corporation, Thrivent Investment Management Inc., and Lutheran Brotherhood Securities Corp. According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Wayne Miller (Aeon Capital Inc.) Customer Complaints

Wayne Miller (CRD # 4813645) is a Financial Advisor at Aeon Capital Inc. in Scottsdale, AZ. Wayne Miller has been in the securities industry since 2004 and previously worked at American Asset Advisory, LLC, Accelerated Capital Group, and Longview Financial Group, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Financial Advisor Hary Datys (Westpark Capital) Customer Complaints

Hary Datys (CRD # 1877750) was a Financial Advisor at Westpark Capital, Inc. in New York, NY. Hary Datys was in the securities industry from 1990 to 2020. Harry Datys worked for eight different brokerage firms including Sterling Financial Investment Group, Inc. (expelled by FINRA), Joseph Stevens & Company, Inc., and GKN Securities Corp. According […]

Financial Advisor Samuel Izaguirre (LPL Financial LLC) Customer Complaints

Samuel Izaguirre (CRD # 4835113) is a Financial Advisor at LPL Financial LLC in Miami Lakes, FL. Samuel Izaguirre has been in the securities industry since 2004 and previously worked at Independent Financial Partners, Chase Investment Services Corp, and Wamu Investments, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Financial Advisor Aaron Brodt (Peachcap Securities, Inc.) Customer Complaints

Aaron Brodt (CRD # 5017914) is a former Financial Advisor at Peachcap Securities in Scottsdale, AZ. Aaron Brodt has been in the secutities industry since 2008 and previously worked at Meridian United Cappital, LLC and Accelerated Capital Group (expelled by FINRA) in Scottsdale, AZ. According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Mark Reffett (Arkadios Capital) Customer Complaints

Mark Reffett (CRD #5894110) is currently a Financial Advisor at Arkadios Capital in Atlanta, GA. Mark Reffett has been in the securities industry since 2012 and previously worked at Triad Advisors, Inc. and Investacorp, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in May 2020, a customer filed a […]

Financial Advisor Jody Thompson (Alexander Capital, LP) Customer Complaints

Jody Thompson (CRD # 2391190) was a Financial Advisor at Alexander Capital L.P. in New York, NY. Jody Thompson has been in the securities industry since 1994 and previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Paineweber Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Financial Advisor Scot Fairchild (Lucia Securities, LLC) Customer Complaints

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 […]

Financial Advisor James Kirchner (Fourstar Wealth Advisors, LLC) Customer Complaints

Previously registered broker James Kirchner (CRD # 2852217) is a Registered Investment Adviser at, Fourstar Wealth Advisors, LLC in Chicago, IL. James Kirchner has been in the securities industry since 1997 and previously worked as a registered Financial Advisor at IFS Securities, David A. Noyes & Company, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and […]