Grant Birkley (CRD#: 2933533) is a previously registered Broker and Investment Advisor at SagePoint Financial, Inc. in Barrington, IL. He entered the securities industry in 1998 and previously worked for Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Incorporated; and Shepherd Financial Group, LLC. According to publicly available records released by the […]

Scott Niekamp (CRD#: 3277810) is a dually registered Broker and Investment Advisor at Northwestern Mutual Investment Services, LLC in Chesterfield, MO. He entered the securities industry in 2000. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021, FINRA sanctioned Scott Niekamp, levying a civil and administrative penalty of […]

Henry Chia-How Chang (CRD#: 4049732) is a dually registered Broker and Investment Advisor at Laidlaw & Company (UK) Ltd. in Pasadena, CA. He entered the securities industry in 1999 and previously worked for Morgan Stanley; Citigroup Global Markets, Inc; Citicorp Investment Services; WM Financial Services, Inc.; Gateway Investment Services, Inc.; and Pruco Securities Corporation. According […]

Tyler Delahunt (CRD#: 4419594) was a previously registered Investment Advisor and Broker at Merrill Lynch, Pierce, Fenner & Smith, Inc., in Atlanta, GA. He entered the securities industry in 2001 and previously worked for PFS Investments, Inc.; Raymond James Financial Services, Inc.; Raymond James & Associates, Inc.; Merrill Lynch, Pierce, Fenner & Smith, Inc., and […]

Jeffrey Stanga (CRD#: 6387255) is dually registered as an Investment Advisor and Broker at FMN Capital Corp. in Mission Viejo, CA. He entered the securities industry in 2014 and previously worked for Financial Management Network, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021, FINRA sanctioned Jeffrey […]

Henry Chang (CRD#: 4049732) was a previously registered Investment Advisor at Morgan Stanley in Pasadena, CA. He entered the securities industry in 1999 and previously worked for Citigroup Global Markets, Inc.; Citicorp Investment Services; WM Financial Services, Inc.; Gateway Investment Services, Inc.; and Pruco Securities Corporation. According to publicly available records released by the Financial […]

Stewart Schram (CRD#: 1711571) was a Financial Advisor at Cambridge Investment Research, Inc., in Buffalo Grove, IL. He entered the securities industry in 1991 and previously worked for Freedom Investors Corp., and Kingsbury Capital, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2021, FINRA sanctioned Stewart Schram, […]

Scott Wayne Reed (CRD#: 3007033) was an Financial Advisor at First Financial Equity Corporation and Wells Fargo Advisors in Scottsdale, AZ. He entered the securities industry in 1999 and previously worked for Coastal Equities, Inc.; Accelerated Capital Group; Meridian United Capital, LLC; Fidelity Brokerage Services, LLC; and Ameritrade. According to publicly available records released by […]

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 […]

Michael Francoeur (CRD#: 5534184) was a Financial Advisor at Cambridge Investment Research, Inc., in Somersworth, NH from January 2012 until April 2020. He entered the securities industry in 2008 and previously worked for Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2021, FINRA sanctioned Michael Francoeur, […]