Tag: Selling Away

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; […]

Jimmy Driggers (CRD#: 1359593) is a previously Registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1985 and previously worked for Morgan Stanley; Morgan Stanley & Co. Incorporated; UBS Financial Services Inc.; Prudential Securities Incorporated; Everen Securities, Inc.; Cozad Investment Services, Inc; Escalator Securities, Inc.(FINRA expelled the firm on 12/31/1997); Investacorp, […]

Wray Rodgers (CRD#: 2842993) is a previously registered Broker. Broker’s Background He entered the securities industry in 1997 and previously worked for Vining-Sparks IBG, LLC and ICBA Securities. Current And Past Allegations Of Conduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2023, FINRA sanctioned Wray Rodgers with […]

Douglas Bauerband (CRD#: 2850269) is a previously registered Broker at Gradient Securities, LLC in Toms River, NJ. Broker’s Background Douglas Bauerband entered the securities industry in 1997 and previously worked for Gradient Securities, LLC; TFS Securities, Inc.; Sagepoint Financial, Inc.; American General Securities Incorporated; and Uslife Equity Sales Corporation. Current and Past Allegations of Conduct […]

Nicholas Stovall (CRD#: 5581487) is a previously registered broker at Gradient Securities, LLC in Arden Hills, MN. Broker’s Background He entered the securities industry in 2008 and previously worked for Gradient Securities, LLC; West America Securities Corporation (Expelled by FINRA in 2013); and Edward Jones. Current and Past Allegations of Conduct Leading to Investment Loss […]

Michael Trethewey (CRD#: 2964914) is a registered Broker and Investment Adviser at Prospera Financial Services, Inc., in Fort Lauderdale, FL. Broker’s Background He entered the securities industry in 1997 and previously worked for Wells Fargo Clearing Services, LLC; Morgan Stanley; Morgan Stanley & Co., Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And […]

Christopher J. Carpenter (CRD#: 6601132) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 2016 and previously worked for LPL Financial, LLC; Spire Securities, LLC; Janney Montgomery Scott, LLC; and Stifel, Nicolaus & Co., Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According […]

Archie Blood (CRD#: 1861277) is a previously registered Broker and an Investment Adviser. Broker’s Background He entered the securities industry in 1988 and previously worked for Cambridge Investment Research, Inc.; CFD Investments, Inc.; Mutual Service Corporation; and Lowry Financial Services Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available […]

Clinton Byrd (CRD#: 4673625) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 2003 and previously worked for Cantella & Co., Morgan Stanley and Co., and Morgan Stanley DW, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

https://brokercheck.finra.org/individual/summary/4759218 Desiderio Torrez (CRD#: 4759218) is a previously registered Broker. Broker’s Background He entered the securities industry in 2005 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 December 2022, FINRA sanctioned Desiderio […]