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 […]

Mark E. Young (CRD#: 1800687) is a dually registered Broker and Investment Advisor at Royal Alliance Associates, Inc. in Topeka, KS. Broker’s Background He entered the securities industry in 1988 and previously worked for Investment Advisors Asset Management, LLC; BTS Asset Management, Inc.; Investment Advisors & Consultants, Inc.; and Security Distributors, Inc. Current And Past […]

Anthony Cottone (CRD#: 4394861) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2001 and previously worked for Landolt Securities, Inc.; Financial West Group; MidAmerica Financial Securities, Inc.; AXA Advisors, LLC; Newbridge Securities Corp.; Independent Securities Investors Corp.; Gunnallen Financial, Inc.; Morgan Stanley DW Inc.; and […]

Nicholas Kraiko (CRD#: 5726415) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2009 and previously worked for National Securities Corporation; Princor Financial Services Corporation; and Edward Jones. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

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 […]

Dennis Fearing (CRD#: 1288339) was previously a dual registered Broker and Investment Advisor at Berthel, Fisher & Company Financial Services, Inc. in Coleraine, MN. He entered the securities industry in 1984 and previously worked for Northland Securities, Inc.; Associated Financial Services, Inc.; Fintegra, LLC; Huntingdon Securities Corporation; American Investment Services, Inc.; Financial Advantage Brokerage Services, […]

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 […]

Philip Beviano, Jr. (CRD#: 2516187) is a dually registered Broker and Investment Advisor at Signature Securities in Boca Raton, FL. He entered the securities industry in 1994 and previously worked for Citigroup Global Markets, Inc.; Citicorp Investment Services; Dreyfus Service Corporation; Merrill Lynch, Pierce, Fenner & Smith, Inc.; Dean Witter Reynolds, Inc.; E.C. Capital, LTD., […]