Tag: Unsuitable

Raymond Lawrence Lent (CRD# 817645) of San Rafael, California is an investment adviser representative with The Putney Financial Group LLC and a registered representative with Arete Wealth Management, LLC. According to his FINRA BrokerCheck report and SEC IAPD report, the SEC has entered two orders against Lent’s advisory business. In May 2024, the SEC ordered […]

Broker’s Background   Andrew Caputo Spaventa (CRD #: 6175466) is registered with TSG Capital Advisors in Hauppauge, NY. Spaventa’s past employers include Cape Securities Inc., Salomon Whitney Financial, Network 1 Financial Securities Inc., SW Financial, Quantum Advisory Group, LLC and TSG Alpha Partners, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss […]

Broker’s Background   Robert Lloyd Omohundro (CRD #: 2415942) is registered with Alexander Capital, L.P. and Alexander Capital Wealth Management LLC in Atlanta, GA. Omohundro’s past employers include Centaurus Financial, Inc., JP Turner & Company Capital Management, LLC, J.P. Turner & Company, L.L.C., MML Investors Services, Inc., Wachovia Securities Financial Network, LLC, Raymond James Financial […]

Broker’s Background   Kurt Charles Jackson (CRD #: 2913769) is registered with Commonwealth Financial Network. He is located in Arroyo Grande, CA. Kurt’s past employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc and NFP Advisor Services, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According […]

Broker’s Background   Shay W. Scruggs (CRD #: 4173046) is registered with Rockefeller Financial LLC. He is located in Houston, TX. Scrugg’s past employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Deutsche Bank Securities Inc., Rockefeller Capital Management and Rockefeller Financial LLC.   Current and Past Allegations of Conduct Leading […]

Larry Jefferson Tolbert (CRD#: 1054714) is a registered Broker at Integrity Alliance, LLC in Memphis, TN. Broker’s Background Larry Jefferson Tolbert entered the securities industry in 2000 and previously worked for AXA Advisors, LLC, Metropolitan Life Insurance Company, Metlife Securities Inc., Syndicated Capital, Inc., Saxony Securities, Inc., Saxony Capital Management, LLC, SunAmerica Securities, Inc., Householder […]

Broker’s Background   Brian Eric Cantel (CRD #: 1743229) is registered with Berthel, Fischer & Company Financial Services, Inc. He is located in Flowery Branch, GA. Cantel’s past employers include Berthel, Fischer & Company Financial Services, Inc., BFC Planning, Inc., ING Financial Partners, Inc., Locust Street Securities, Inc. and Fidelity Equity Services Corporation.     […]

  Broker’s Background   Kent Eric Engelke (CRD #: 1421164) is registered with Capital Securities Management, Inc. He is located in Glen Allen, VA. Engelke’s past employers include Capital Securities Management, Inc., Davenport & Company LLC, Anderson & Strudwick, Incorporated, A&S Capital Advisors, Inc., Sovran Investment Corporation, Dominick & Dominick, Incorporated, First Investors Corporation.   […]

Broker’s Background   Carmen Dean Morrone (CRD #: 1898874) is registered with Realta Equities, Inc. Camren Morrone is located in Wantagh, NY. Morrone’s past employers include B. Riley Wealth Management, National Securities Corporation, Muriel Siebert & Co., Inc., Investacorp, Inc., Prime Capital Services, Inc., Oppenheimer & Co., Inc., NYLife Securities LLC, Ameriprise Advisor Services, Inc., […]

Broker’s Background   William Brian Candler (CRD #: 2802438) is registered with JCC Capital Markets, LLC. He is located in Overland Park, KS. Candler’s past employers include JCC Advisors, LLC, Connor Capital Investments, LLC, Burch & Company, Inc., Argent Investment Services, Inc., VSR Financial Service, Inc., Cabin Securities, Inc., Cabin Advisors, LLC and JCC Capital […]