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SagePoint Financial Advisor Grant Birkley Barred by FINRA After Refusing to Aid Investigation into Allegedly Referring Customers To Outside Asset Manager

June 23, 2021

Grant Birkley (CRD#: 2933533) is a previously registered Broker and Investment Advisor at SagePoint Financial, Inc. in Barrington, IL. He entered the securities industry in 1998 and previously worked for Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Incorporated; and Shepherd Financial Group, LLC. According to publicly available records released by the…

Truist Investment Services Financial Advisor Stephen Berrocal Has Three Customer Complaints

June 23, 2021

Stephen Berrocal (CRD#: 3071400) is a dually registered Broker and Investment Advisor at Truist Investment Services, Inc. in Coral Gables, FL. He entered the securities industry in 2001 and previously worked for Suntrust Investment Services, Inc.; J.P. Morgan Securities, LLC; Chase Investment Services Corp.; Wells Fargo Advisors, LLC; A.G. Edwards & Sons, Inc.; and Sterling…

Hancock Whitney Investment Services Financial Advisor Robin Platt Has Pending Complaint For The Sale Of Northstar Financial Services (Bermuda) Ltd. Annuities?

June 23, 2021

Robin Platt (CRD#: 2584058) is a dually registered Broker and Investment Advisor at Hancock Whitney Investment Services, Inc. in Mandeville, LA. She entered the securities industry in 1998 and previously worked for Allstate Financial Advisors, LLC; PNC Investments; RBC Capital Markets, LLC; Wells Fargo Advisors, LLC; Suntrust Securities, Inc., and A.G. Edwards & Sons, Inc.…

Suitability Complaints Pending Against Royal Alliance Associates Broker/Advisor Ryan T. Fleming

June 16, 2021

Ryan T. Fleming (CRD#: 4378425) is a dually registered Broker and Investment Advisor at Royal Alliance Associates, Inc. in Bellevue, WA. He entered the securities industry in 2001 and previously worked for Hornor, Townsend & Kent, LLC; and Advisory Resource Group, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…

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We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis