Hillard Rest (CRD#: 858840) is a registered Broker at JRL Capital Corporation in Newport Beach, CA. Broker’s Background He entered the securities industry in 1978 and previously worked for Samuels Chase & Co., Inc.; National Planning Corp.; PaineWebber, Inc.; Vanguard Capital; Drake Capital Securities, Inc.; Sutro & Co., Inc.; and Dean Witter Reynolds, Inc. Current […]

Michael Lee (CRD#: 715932) is a dually registered Broker and Investment Advisor at Essex Securities, LLC in Jersey City, NJ. Broker’s Background He entered the securities industry in 1980 and previously worked for ES Advisory Group; SB Advisory, LLC; CL Wealth Management, LLC; Cabot Lodge Securities, LLC; IFS Securities; Financial Advisory Network; Inc.; Securities America, […]

Christopher Wright (CRD#: 4134973) is a dually registered Broker at Center Street Securities, Inc., and a registered Investment Advisor at Wright Wealth Management Group in Prescott, AZ. Broker’s Background He entered the securities industry in 2000 and previously worked for Multi-Financial Securities Corporation; Linsco/Private Ledger Corp.; and H.D. Vest Investment Services. Current And Past Allegations […]

Daniel Mackle (CRD#: 2239531) is a previously dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1992 and previously worked for MD Global Partners, LLC; Garden State Securities, Inc.; J.P. Turner & Company, LLC; Barron Chase Securities, Inc.; Worthington Capital Group, Inc.; Investors Associates, Inc.; M.S. Farrell & Co., Inc.; […]

Janie Garza-Clark (CRD#: 1010752) is a previously registered Broker. Broker’s Background She entered the securities industry in 1982 and previously worked for TCFG Wealth Management, LLC; Sagepoint Financial, Inc.; Hornor, Townsend & Kent, Inc.; PML Securities Company; NYLife Securities, Inc.; and Mutual of Omaha Fund Management Company. Current And Past Allegations Of Conduct Leading To […]

Christopher B. Kennedy (CRD#: 4498061) was a dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2002 and previously worked for Western International Securities, Inc.; Spartan Capital Securities, LLC; Financial West Group; Multi-Financial Securities Corporation; and RBC Dain Rauscher, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Xiangyu Zhang (CRD#: 5050282), also known as Sean Zhang, is a previously dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2005 and previously worked for Wells Fargo Clearing Services, LLC; LPL Financial LLC; Cetera Investment Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Inc.; Banc of America Investment Services, […]

Jerry Tuma (CRD#: 730104) is a dually registered Broker and Investment Advisor at Independent Financial Group, LLC in Dallas, TX. Broker’s Background He entered the securities industry in 1981 and previously worked for Independent Financial Group, LLC; Cambridge Legacy Securities, LLC; AIG Financial Advisors, Inc.; SunAmerica Securities, Inc.; Anchor National Financial Services, Inc.; and Waddell […]

Thomas Swan (CRD#: 1698430) is a dually registered Broker and Investment Advisor at Western International Securities, Inc. in Westlake Village, CA. Broker’s Background He entered the securities industry in 1987 and previously worked for Financial West Group; WM Financial Services, Inc.; Great Western Financial Securities, Corp.; SunAmerica Securities, Inc.; IFG Network Securities, Inc.; Sentra Securities […]

Marshall Isaccson (CRD#: 1140370) is a formerly registered Broker. Broker’s Background He entered the securities industry in 1983 and previously worked for Newbridge Securities Corporation; Ladenburg Thalmann & Co., Inc.; Oppenheimer & Co.; Ryan Beck & Co.; Gruntal & Co., LLC; Janney Montgomery Scott, LLC; Prudential Securities Inc.; Smith Barney, Inc.; Lehman Brothers, Inc.; Painewebber […]