Brain Donnelly (CRD#: 4288121) was previously registered as a Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2001 and previously worked for First Allied Securities Inc.; Triad Advisors, Inc.; and ING Financial Advisors, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Steven Hirata (CRD#: 1188927) is a previously registered Broker. Broker’s Background He entered the securities industry in 1984 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 May 2022, FINRA sanctioned Steven Hirata, […]

Robert Earl Turner (CRD#: 2113736) was previously dually registered as a Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1991 and previously worked for Stifel, Nicolaus & Company, Inc; UBS Financial Services, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Stephen Takeda (CRD: 1100052) is a dually registered Broker and Investment Advisor at Morgan Stanley in Irvine, CA. Broker’s Background He entered the securities industry in 1983 and previously worked for Citigroup Global Markets, Inc.; Lehman Brothers, Inc.; and Dean Witter Reynolds, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Jonathan Turner (CRD#: 4853469) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2010 and previously worked for Ameriprise Financial Services, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Michael Barranco (CRD#: 4825738) is a registered Investment Advisor and previously registered Broker. Broker’s Background He entered the securities industry in 2004 and previously worked for LPL Financial, Inc.; and Raymond James Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry […]

Michael Mandel (CRD#: 4939165) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2005 and previously worked for LPL Financial, LLC; Royal Alliance Associates, Inc.; and UBS Financial Services, Inc.. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Keith Ashley (CRD#: 4096004) is a previously registered Broker. Broker’s Background He entered the securities industry in 2000 and previously worked for Parkland Securities, LLC; Sigma Financial Corporation; and Walnut Street Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

Aaron Maurer (CRD#: 3007121), also known as Doug Maurer,  is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1998 and previously worked for Ascendant Alternative Strategies, LLC; Stephen A. Kohn & Associates, LTD.; RP Capital, LLC; TD Ameritrade, Inc.; Morgan Stanley DW, Inc.; Automated Trading Desk […]

Murray Petersen (CRD#: 1311730), also known as Todd Petersen, is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 1984 and previously worked for Ameriprise Financial Services, LLC; SCF Securities, Inc.; WFG Investments, Inc.; Commonwealth Financial Network; and Financial Network Investment Corporation.   Current And […]