fbpx

Tag: Unsuitable

Financial Advisor Ann Werts Has Three Disclosed Customer Complaints

Ann Werts (CRD#: 5057784) is a dually registered Investment Advisor and Broker at Madison Avenue Securities, LLC in Lakewood, CO. Broker’s Background She entered the securities industry in 2006 and previously worked for CL Wealth Management, LLC; Cabot Lodge Securities, LLC; Allied Beacon Partners, Inc.; Titan Securities; Community Bankers Securities, LLC; Securities America Advisors, Inc.; […]

Former Financial Advisor Otto Bohon Has Five Customer Complaint Disclosures

Otto Bohon (CRD#: 5677597) is a previously dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2009 and previously worked for Centaurus Financial, Inc.; Wells Fargo Advisors, LLC; and Wells Fargo Investments, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Financial Advisor Xiangyu Zhang Has Ten Customer Complaints And Regulatory Infractions

Xiangyu Zhang (CRD#: 5050282), also known as Sean Zhang, is a previously dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2005 and previously worked for Wells Fargo Clearing Services, LLC; LPL Financial LLC; Cetera Investment Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Inc.; Banc of America Investment Services, […]

Financial Advisor Jeffrey Shaver Has Four Disclosed Customer Complaints

Jeffrey Shaver (CRD#: 2675592) is a previously registered Broker and currently registered Investment Advisor. Broker’s Background He entered the securities industry in 1996 and previously worked for Arkadios Capital; Triad Advisors, Inc; LPL Financial Corporation; Wachovia Securities Financial Network, LLC; Morgan Keegan & Company, Inc.; A.G. Edwards & Sons, Inc.; J.P. Turner & Company, LLC; […]

Financial Advisor Arthur Grossbard (Ameriprise Financial Services, LLC) Customer Complaints

Arthur Grossbard (CRD#: 1020971) is a dually registered Broker and Investment Advisor at Ameriprise Financial Services, LLC in West Orange, NJ. Broker’s Background He entered the securities industry in 1982 and previously worked for Royal Alliance Associates, Inc.; New Century Financial Group, LLC; Financial Network Investment Corporation; and Pennsylvania Securities Company. Current And Past Allegations […]

Financial Advisor Sanjay Bhargava (Regulus Financial Group, LLC) Customer Complaints

Sanjay Bhargava (CRD: 4495397) is a dually registered Broker and Investment advisor at Regulus Financial Group, LLC in Independence, OH. Broker’s Background He entered the securities industry in 2003 and previously worked for Arbor Point Advisors; Securities America, Inc.; JK Investment Group, Inc.; Securities America Advisors, Inc.; QA3 Financial Corp.; QA3 Financial, LLC; and C. […]

Financial Advisor Joseph P. Young (Arkadios Capital) Customer Complaints

Joseph P. Young (CRD: 4068656) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1999 and previously worked for Arkadios Capital; Triad Advisors, Inc.; LPL Financial Corporation; Wachovia Securities Financial Network, LLC; Morgan Keegan & Co., Inc.; and Tejas Securities Group, Inc. Current And Past Allegations […]

Financial Advisor Jerry Tuma (Independent Financial Group, LLC) Customer Complaints

Jerry Tuma (CRD#: 730104) is a dually registered Broker and Investment Advisor at Independent Financial Group, LLC in Dallas, TX. Broker’s Background He entered the securities industry in 1981 and previously worked for Independent Financial Group, LLC; Cambridge Legacy Securities, LLC; AIG Financial Advisors, Inc.; SunAmerica Securities, Inc.; Anchor National Financial Services, Inc.; and Waddell […]

Financial Advisor Christopher Passero (Money Concepts Capital Corp) Customer Complaints

Christopher Passero (CRD#: 2517681) is a registered Broker at Money Concepts Capital in Hurricane, WV. Broker’s Background He entered the securities industry in 1994 and previously worked for Emissary Financial Group, Inc.; and Money Concepts Capital Corp. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

Financial Advisor Edward Yoon (First Allied Securities, Inc.) Customer Complaints

Edward Yoon (CRD#: 2408137) is a registered Broker at First Allied Securities, Inc. in Pasadena, CA. Broker’s Background He entered the securities industry in 1994 and previously worked for First Allied Advisory Services, Inc.; First Allied Securities, Inc.; UBS Financial Services, Inc.; D.A. Davidson & Co.; Piper Jaffray, Inc.; Prudential Securities, Inc.; and Painewebber, Inc. […]