James Seijas (CRD#: 2392901) is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 1997 and previously worked for Wells Fargo Clearing Services, LLC; TD Ameritrade, Inc.; Fidelity Brokerage Services, LLC; Barclays Capital, Inc.; Banc of America Specialist, Inc.; Fleet Securities, Inc.; and Quick & […]

Mark Kemp (CRD#: 2057200) is a dually registered Broker and Investment Advisor at McNally Financial Services Corporation in Corpus Christi, TX. He entered the securities industry in 1990 and previously worked for Next Financial Group, Inc.; Hornor, Townsend & Kent, Inc; The Mutual Life Insurance Company of New York; and Mony Securities Corp. According to […]

Daniel Jossen (CRD#: 5463761) is a previously registered Broker and Investment Advisor at NYLife Securities, LLC in Bethesda, MD. He entered the securities industry in 2007 and previously worked for Park Avenue Securities, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021, FINRA sanctioned Daniel Jossen, barring […]

Jeremy Johnson (CRD#: 7074043) was a previously registered broker at Torch Securities, LLC in Murrieta, CA. He entered the securities industry in 2019. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021, FINRA sanctioned Jeremy Johnson, barring him indefinitely from all capacities beginning March 26, 2021. The FINRA […]

Peter Kohli (CRD # 1064334) was a Financial Advisor at Trustmont Financial Group in Leesport, PA. Peter Kohli has been in the securities industry since 1982 and previously worked at Equitas America, LLC, ING Financial Partners, Inc., and MML Investors Services, Inc. According to publicly available records released by the United States Securities Exchange Commission […]

Jeffrey Butler (CRD # 2319063) was a Financial Advisor at Fortune Financial Services, Inc in Kewaskum, WI. Jeffrey Butler has been in the securities industry from 1993-2016 and previously worked at seven different brokerage firms including Concorde Investment Services, LLC and Sterne Agee Financial Services, Inc. According to publicly available records released by the Financial […]

Michael Martino (CRD # 2579146) is a Financial Advisor at Four Points Capital Partners LLC in New York, NY. Michael Martino has been in the securities industry since 1995 and previously worked at seven different brokerage firms including three FINRA expelled firms. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

William Winchester (CRD # 4404327 is a Financial Advisor at Cadaret, Grant & Co., Inc., in Chattanooga, TN. William Winchester has been in the securities industry since 2001 and previously worked at Raymond James Financial Services Advisors, Inc, LPL Financial LLC, and Suntrust Investment Services, Inc. According to publicly available records released by the Financial […]

William Morrow (CRD # 836500) is a Financial Advisor at Concorde Ivestment Services, LLC in San Diego, CA. William Morrow has been in the securities industry since 1977 and previously worked at thirteen different brokerage firms, including Independent Financial Group, LLC, Financial Designs LTD, and QA3 Financial Corp. According to publicly available records released by […]

Thomas Duggan (CRD #2757615) is a Financial Advisor at Aegis Capital Corp. in Melville, NY. Thomas Duggan has been in the securities industry since 1996 and previously worked at Maxim Group LLC and Investec Ernst and Company. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Thomas Duggan has been the […]