FINRA recently issued a sanction against Concorde Investment Services after it was alleged that the firm sold private placement offerings to investors with whom it did not have an existing relationship and who were not qualified to make those investments. Concorde Investment Services, LLC (CRD# 151604) has been a FINRA member since August 2010. The […]

Miche Jean (CRD#: 5918186) is a previously registered Broker and Investment Adviser. Broker’s Background He entered the securities industry in 2015 and previously worked for Morgan Stanley. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2023, there is […]

Anthony (Tony) Liddle (CRD#: 5478479) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 2008 and previously worked for Landolt Securities, Inc.; Western International Securities, Inc.; and Eliason Financial Group, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records […]

Lon Faccini, Jr. (CRD#: 2736849) is a previously registered Broker. Broker’s Background He entered the securities industry in 1996 and previously worked for Arive Capital Markets; Cape Securities, Inc.; Liberty Partners Financial Services, LLC; J.W. Cole Financial, Inc.; J.P. Turner & Co., LLC; LH Ross & Co., Inc.; Continental Broker-Dealer Corp.; Gunnallen Financial, Inc.; Seaboard […]

Jay Eng (CRD#: 2241817) is a registered Broker and Investment Adviser at Independent Financial Group, LLC in Torrance, CA. Broker’s Background He entered the securities industry in 1992 and previously worked for Kinecta Wealth Management; LPL Financial, LLC; WM Financial Services, Inc.; Electronic Trading Group, LLC; Pule Trading, Inc.; Banc of America Securities, LLC; J.P. […]

David Test (CRD#: 2341570) is a dually registered Broker and Investment Adviser at Avantax Investment Services, Inc. in Frisco, TX. Broker’s Background He entered the securities industry in 1993 and previously worked for Northwestern Mutual Investment Services, LLC; MML Investors Services, Inc.; Hartford Equity Sales Company, Inc.; and The Great-West Life Assurance Company. Current And […]

Theodore Serure (CRD#: 419023) is a formerly registered Investment Adviser and a registered Broker at Jefferies, LLC in New York, NY. Broker’s Background He entered the securities industry in 1969 and previously worked for J.P. Morgan Securities, LLC; Bear, Stearns & Co., Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations […]

https://brokercheck.finra.org/individual/summary/4759218 Desiderio Torrez (CRD#: 4759218) is a previously registered Broker. Broker’s Background He entered the securities industry in 2005 and previously worked for PFS Investments, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2022, FINRA sanctioned Desiderio […]

Antoine Souma (CRD#: 4210987) is a registered Investment Adviser and a previously registered Broker. Broker’s Background He entered the securities industry in 2000 and previously worked for Insigneo Securities, LLC; Morgan Stanley; J.P. Morgan Securities, LLC; Deutsche Bank Securities, Inc.; and UBS Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Charles Malico (CRD#: 1507282) is a previously registered Broker, who most recently worked at Network 1 Financial Securities. Broker’s Background He entered the securities industry in 1987 and previously worked for Network 1 Financial Securities, Inc.; MidAmerica Financial Services, Inc.; Global Arena Capital Corp; B.B. Graham & Company, Inc.; Liberty Partners Financial Services, LLC; Clark […]