Alexis Cooke (CRD#: 5598604) is a previously registered Broker who worked at Pruco Securities, LLC in Brooklyn, NY. Alexis Cooke entered the securities industry in 2009 and previously worked for NYLife Securities, LLC; Wells Fargo Advisors, LLC; J.P. Morgan Securities, LLC; and Chase Investment Services Corp. According to publicly available records released by the Financial […]

James Couture (CRD#: 4406284) was an Investment Advisor at LPL Financial, LLC in Worcester, MA. He entered the securities industry in 2001 and previously worked for Lincoln Financial Securities Corporation; New England Securities; and Morgan Stanley DW, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2020, FINRA […]

Manish Shah (CRD#: 4652835), also known as Manish H. Shah and Manish Hemant Shah, is a previously registered Investment Advisor who worked for Northwestern Mutual Investment Services, LLC from 2003 until 2019. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2021, FINRA suspended Manish Shah for 20 months […]

Jenna Kang (CRD # 6334679) was a Financial Advisor at AXA Advisors LLC in Los Angeles, CA. Jenna Kang has been in the securities industry since 2016. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 7, 2020, Jenna Kang was barred by FINRA. According to the FINRA sanction: […]

Lori Ann Sacco (CRD # 5527270) was a Financial Advisor at BMO Harris Financial Adivsors, Inc. in Wauwatosa, WI. Lori Ann Sacco was in the securities industry from 2008 to 2018 and previously worked at Fifth Third Securities, Inc., and Associated Investment Services, Inc. in Chicago, IL. According to publicly available records released by the […]

Christopher Hildebrandt (CRD # 1318476) was a Financial Advisor at Principal Securities, Inc. in Cape May Court House, NJ. Christopher Hildebrandt was in the securities industry from 1998 to 2018 and previously worked at NIA Securities, L.L.C. and Morgan Stanley DW Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Cynthia Perry (CRD #4597565) is a broker at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Salisbury, MD. Cynthia Perry has been in the securities industry since 2003 and previously worked at RBC Capital Markets Corporation. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 6, 2020, Cynthia Perry […]

William Hite (CRD # 1675972) was a Financial Advisor at NY Life Securities. William Hite has been in the securities industry since 1998 and previously worked for a number of brokerage firms, including Metlife Securities and Metropolitan Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March […]

David Aaron Rockwell (CRD # 4236377) was a Financial Advisor at Cetera Advisor Networks LLC in Fort Myers, FL.  David Rockwell has been in the securities industry since since 2000 and previously worked at SunTrust Investment Services, Inc., Fifth Third Securities, Inc. and Comerica Securities. According to publicly available records released by the Financial Industry […]

  Gerald Eaton (CRD # 2279093 was a former Financial Advisor at Commonwealth Financial Network in Acton, MA. Gerald Eaton previously worked at John Hancock Distributors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 28, 2019, Gerald Eaton was discharged by Commonwealth Financial Network for allegedly engaging in […]