Valence Montgomery Williams (CRD#:1389729) was a previously registered broker.   Broker’s Background He entered the securities industry in 1985 and previously worked with Shearson Lehman Brothers Inc.; Prudential-Bache Securities Inc.; Emanuel and Company (FINRA Expelled the firm on 10/13/1994); Dean Witter Reynolds Inc.; Stuart, Colemand & Co.,Inc.; Investec Ernst & Company; Maxim Group LLC; Gunnallen […]

Michael Fisher (CRD: 4056114) is a registered broker and investment advisor with Ameriprise Financial Services, LLC., in Melville, NY.   Broker’s Background He entered the securities industry in 2000 and previously worked with Citigroup Global Markets Inc.; Merril Lynch, Pierce, Fenner & Smith Incorporated; UBS Financial Services, Inc.; and Wells Fargo Advisors, LLC.   Current […]

Andrew David Schell (CRD#:6536347) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2015 and previously worked for Merril Lynch, Pierce, Fenner & Smith Incorporated and D.A Davidson & Co. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

  Matthew Thomas Mierzycki (CRD#: 6102769) is a registered broker and investment advisor at Ameriprise Financial Services, LLC., in Round Rock, TX. Broker’s Background He entered the securities industry in 2012 and previously worked for Edward Jones. Current and Past Allegations Leading to Investment Loss According to publicly available records released by the Financial Industry […]

Gustavo Miramontes (CRD#: 2338966) is a registered broker at Oppenheimer & Co. Inc., in Los Angeles, CA. Broker’s Background He entered the securities industry in 1996. He previously worked for Wedbush Securities, Inc.; Wells Fargo Advisors, LLC; Southwest Securities, Inc; and M.L Stern & Co., LLC. Current and Past Allegations of Conduct Leading to Investment […]

Andrew Scott Pesner (CRD#: 1971579) is a registered broker at VCS Venture Securities, in Hauppauge, NY. Broker’s Background Andrew Pesner entered the securities industry in 1990. He previously worked for Joseph Stone Capital LLC; First Midwest Securities, Inc.; American Capital Partners, LLC; Milestone Financial Services, Inc.; First Asset Management, Inc.; Chatfield Dean & Co., Inc; […]

Jason Pintus (CRD#: 5239408) is a previously registered Broker. Broker’s Background He entered the securities industry in 2009 and previously worked for Monmouth Capital Management, LLC; MML Investors Services, LLC; and Legend Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

James Cvetkovic (CRD#: 5387856) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 2007 and previously worked for Stifel, Nicolaus & Company, Inc.; and Butler, Wick & Co., Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Kumail (Ken) Abbas (CRD#: 5722935) is a registered Broker at Network 1 Financial Securities, Inc., in Hauppauge, NY. Broker’s Background He entered the securities industry in 2009 and previously worked for Laidlaw & Company (UK) Ltd.; Cape Securities, Inc.; C.K. Cooper & Co., Inc.; EKN Financial Services, Inc.; ITradeDirect.com Corp.; and Liberty Partners Financial Services. […]

Daniel Mackle, Sr. (CRD#: 2239531) was previously registered as a Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1992 and previously worked for MD Global Partners, LLC; Garden State Securities, Inc.; J.P. Turner & Company, LLC; Barron Chase Securities, Inc.; Worthington Capital Group, Inc.; Investors Associates, Inc.; M.S. Farrell & Company, […]