Tag: Unsuitable

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 […]

Angelo Frank Anello (CRD#: 2835091) is a registered broker and investment advisor at LPL Financial LLC in Needham, MA 02494   Broker’s Background He entered the securities industry in 1997 and previously worked with Salomon Smith Barney Inc.; Dreyfus Service Corporation; Quick & Reilly, Inc.; Banc of America Investment Services, Inc.; and Citigroup Global Markets […]

David Bruce McMillen (CRD#: 1198070) is a registered broker and investment advisor at Capital Securities, L.P in Boulder, CO.   Broker’s Background   He entered the securities industry in 1983, and previously worked with First Investors Corporation; Interfinancial Securities, Inc.; The Equitable Life Assurance Society of the United States; Equico Securities, Inc.; The Lincoln National […]

Brian Campion Stern (CRD#: 3137402) is a registered broker and investment advisor with OSAIC Wealth, Inc. in Rochester, MN.   Broker’s Background He entered the securities industry in 1998 and has previously worked with Transamerica Financial Advisors, Inc.; and Signator Investors, Inc.   Allegations of Misconduct According to publicly available records released by the Financial […]

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 […]