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 […]

Michael Barranco (CRD#: 4825738) is a registered Investment Advisor and previously registered Broker. Broker’s Background He entered the securities industry in 2004 and previously worked for LPL Financial, Inc.; and Raymond James Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry […]

Jan Earl Haynes (CRD#: 833875) is a previously registered Broker. Broker’s Background He entered the securities industry in 1977 and previously worked for Integrity Brokerage Services, Inc.; Centaurs Financial, Inc.; National Securities Corporation; The Concord Equity Group, LLC; First Montauk Securities Corp.; J. Robbins Securities, LLC; RAS Securities Corp.; Cohig & Associates, Inc.; Dickinson & […]

Paul Koch (CRD#: 1777599) is a previously registered Broker and Investment Advisor. Broker’s Background Paul Koch entered the securities industry in 1987 and previously worked for RBC Capital Markets, LLC; UBS Financial Services, Inc.; Citigroup Global Markets, Inc.; Miller Johnson Steichen Kinnard, Inc.; John G. Kinnard & Company, Inc.; Prudential Securities, Inc.; Piper Jaffray, Inc.; […]

Chad Barancyk (CRD#: 4921433) is a dually registered Broker and Investment Advisor at Great Point Capital, LLC in Chicago, IL. Broker’s Background He entered the securities industry in 2005 and previously worked for Great Point Advisors, LLC; Cetera Investment Advisers, LLC; First Allied Securities, Inc.; First Allied Advisory Services, Inc.; and SII Investments, Inc. Current […]

Dale Wright (CRD#: 1142615) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1983 and previously worked for Cambridge Investment Research, Inc.; Sanders Morris Harris, Inc.; QA3 Financial Corp.; National Planning Corporation; Centennial Capital Management, Inc.; and First American National Securities, Inc. Current And Past Allegations […]

When it comes to understanding fiduciary responsibilities, it can be hard to know what that means and how it applies to investing in securities. Fortunately, the U.S. Securities and Exchange Commission issued some guidance to outline its expectations for financial advisors and what they owe their clients.   What Does the SEC Say?   SEC […]

Guilford Nergard (CRD#: 2360614) is a registered Investment Advisor and previously registered Broker.   Broker’s Background   He entered the securities industry in 1993 and previously worked for San Blas Securities, LLC; Newbridge Securities Corporation; Raymond James & Associates, Inc.; Morgan Stanley; Citigroup Global Markets, Inc.; and Lehman Brothers, Inc.   Current And Past Allegations […]

Carl Gill (CRD#: 1076361) is a registered Investment Advisor and previously registered Broker.   Broker’s Background   He entered the securities industry in 1982 and previously worked for United Planners’ Financial Services of America: A Limited Partner; Professional Asset Management, Inc.; Leonard & Company; Vestax Securities Corporation; First of Michigan Corporation; and Dean Witter Reynolds, […]

Robert Boyer III (CRD#: 5787312) is a previously registered Broker and Investment Advisor. He entered the securities industry in 2010 and previously worked for J. Alden Associates, Inc.; MML Investors Services, LLC; MSI Financial Services, Inc.; and MML Investors Services, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]