John Brian Lee (CRD#: 2950037) is a registered broker and financial advisor at LPL Financial LLC, in Fort Worth, TX. Broker’s Background: John Lee entered the securities industry in 1999. He previous worked for Cambridge Investment Research Advisors, Inc; MML Investors Services, LLC; Northwestern Mutual Investment Services, LLC; Northwestern  Mutual Wealth Management Company; Nationwide Securities; […]

Sumitro Pal was an Investment Advisor at Morgan Stanley in Bethesda, MD. He entered the securities industry in 2004 and previously worked for Morgan Stanley & Co., Inc., and Morgan Stanley DW, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2020, Sumitro Pal was the subject of […]

Jasmit Singh (CRD#: 6483304), an Investment Advisor previously associated with J.P. Morgan Securities, LLC, entered the securities industry in 2017. He ended his employment with J.P. Morgan Securities, LLC on February 18, 2020. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2020, FINRA suspended Jasmit Singh for a […]

Narinder Singh (CRD # 3100308) was a Financial Advisor at Farmers Financial, LLC in Sacramento, CA. Narinder Singh has been in the securities industry since 1998 and previously worked at Proequites, Inc., Transamerica Financial Advisors, Inc., Oneamerica Securities, Inc., and Foresters Equity Services, Inc. According to publicly available records released by the Financial Industry Regulatory […]

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 […]

Jeffrey Scott Nimmow (CRD # 2693601) was a Financial Advisor at Forest Securities, Inc. in Hillside, IL.  Jeffrey Nimmow has been in the securities industry since since 1996 and previously worked at Questar Capital Corporation, Traderight Securities, Inc., USAllianz Securities, Inc., Signator Investors, Inc. and John Hancock Mutual Life Insurance Company. According to publicly available […]

Roger Owens (CRD # 2359204) was a Financial Advisor at Ceterea Advisors LLC in Elkton, MD. Roger Owens has been in the securities industry since since 1993 and previously worked at Legacy Financial Services, Inc., UVest Financial Services Group, Inc., Fortis Investors, Inc. and Banner Financial Services Group. According to publicly available records released by […]

Michael Jason Collins (CRD # 2915653) was a Financial Advisor at Kingsbury Capital, Inc. in Evanston, IL. Michael Collins has been in the securities industry since 1999 and previously worked at Robert W. Baird & Co., Morgan Stanley and Citigroup Global Markets. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

David Kendrick (CRD # 4384666) was a Financial Advisor at NY Life Securities in Shreveport, Louisiana.  David Kendrick previously worked at Lincoln Financial Advisors Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 20, 2019, David Kendrick was suspended by FINRA for 18 months and fined $30,000 for […]

Robert Pachciarz (CRD # 5337955) is a former Financial Advisor at JP Morgan Securities, Inc. in Naperville, IL.  Robert Pachciarz has been in the securities industry since 2007 and previously worked at Chase Investment Services Corp.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2019, FINRA suspended and […]