Tag: Unsuitable

Guy Gregory Clemente (CRD#: 1222597) is a registered broker and investment advisor with Aegis Capital Corp., in New York, NY. Broker’s Background He entered the securities industry in 1984 and previously worked with Rauscher Pierce Refsnes, Inc.; Lehman Brothers Inc.; Smith Barney Inc.; Commonwealth Associates; The J.B Sutton Group, Inc.; Sands Brothers & Co., LTD.; […]

James Roy Paige (CRD#1726609) is a Registered Broker and Investment Advisor with Wells Fargo Clearing Services, LLC in Vero Beach, FL. Broker’s Background He entered the securities industry in 1987 and previously worked with Blinder, Robinson & Co., Inc.; Morgan Stanley DW Inc.; and Morgan Stanley & Co. Incorporated. Current and Past Allegations of Conduct […]

Louis Martin Wargo (CRD#:1416101) is a Registered Broker and Investment Advisor with Osaic Wealth, Inc., in Brecksville, OH. Broker’s Background He entered the securities industry in 1994 and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; The Equitable Life Assurance Society of the United States; AXA Advisors LLC; and FSC Securities Corporation. Current […]

Jack R. Thacker Jr. (CRD#: 2754773) is a registered broker and investment advisor with Realta Equities, Inc. in Bristol, VA. Broker’s Background He entered the securities industry in 1996 and previously worked with John Hancock Mutual Life Insurance Company; Signator Investors, Inc.; Dortch Securities & Investments, Inc.; Kalos Capital, Inc.; Thacker & Associates Inc.; Arete […]

Stephen M. Medina (CRD: 2614773) is a registered broker and investment advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Corpus Christi, TX.   Broker’s Background He entered the securities industry in 1995 and has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated since then.   Current and Past Allegations of Conduct […]

Brandon Lane Morrow (CRD#: 3037943) is a Registered Broker with Emerson Equity LLC, in Irvine, CA.   Broker’s Background He entered the securities industry in 2000 and previously worked with UMB Scout Brokerage Services, Inc.; Nathan & Lewis Securities, Inc.; Waddell & Reed, Inc.; Behringer Securities LP; Realty Capital Securities, LLC; Triton Pacific Securities, LLC; […]

Kevin L. Kelly (CRD#: 2293119) is a Registered Broker and Investment Advisor at Avantax Investment Services, Inc., in Atlanta, GA. Broker’s Background He entered the securities industry in 1992 and previously worked with IDS Life Insurance Company; American Express Financial Advisors Inc.; Ameriprise Financial Services, Inc.; IFG Advisory, LLC; Legacy Capital Advisors, LLC; and LPL […]

Martin A. Klein III (CRD#: 1778613) is a Registered Broker and Investment Advisor with RBC Capital Markets, LLC in Newport Beach, CA. Broker’s Background He entered the securities industry in 1987 and previously worked with Prudential Securities Incorporated; Morgan Stanley DW Inc.; Morgan Stanley & Co.; and J.P Morgan Securities, LLC. Current and Past Allegations […]

Ronald Luther Bucher (CRD#: 1804910) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1988, and previously worked with Glickenhaus & Co.-New Jersey; Dean Witter Reynolds, Inc.; Moore & Schley, Cameron & Co.; Hanifen, Imhoff Securities Corp.; Josephthal & Co., Inc.; Josephthal Lyon & Ross Incorporated; Prudential Securities […]

Ran Regev (CRD#: 5469190) is a FINRA registered Financial Advisor. Broker’s Background Ran Regev entered the securities industry in 2008. He previously worked with Metlife Securities, Inc. and Sagepoint Financial, Inc., which is now owned by Osaic Wealth, Inc.  Ran Regev is located in Fort Lauderdale, FL. Allegations of Conduct Leading to Investment Loss The […]