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Justin Dolan, Financial Advisor at Charles Schwab & Co., Has A Customer Complaint Disclosure

July 10, 2021

Justin Dolan (CRD#: 4987385) is a dually registered Broker and Investment Advisor at Charles Schwab & Co., Inc., in St. Augustine, FL. He entered the securities industry in 2005 and previously worked for J.W. Cole Advisors, Inc.; LPL Financial LLC; Cetera Advisors, LLC; Fifth Third Securities, Inc.; Wells Fargo Advisors, LLC; Merrill Lynch, Pierce, Fenner…

Signature Securities Financial Advisor Philip Beviano Has Eleven Customer Complaint Disclosures, Including Pending Disclosures

July 10, 2021

Philip Beviano, Jr. (CRD#: 2516187) is a dually registered Broker and Investment Advisor at Signature Securities in Boca Raton, FL. He entered the securities industry in 1994 and previously worked for Citigroup Global Markets, Inc.; Citicorp Investment Services; Dreyfus Service Corporation; Merrill Lynch, Pierce, Fenner & Smith, Inc.; Dean Witter Reynolds, Inc.; E.C. Capital, LTD.,…

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…

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