Articles Tagged with Ausdal Financial Partners

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David Geake

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that Illinois-based Ausdal Financial Partners broker/adviser David Geake has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Geake (CRD# 3088891).

David Geake has spent 18 years in the securities industry and has been registered with Ausdal Financial Partners in Northbrook, Illinois since 2016. Previous registrations include Madison Avenue Securities in Northbrook, Illinois (2007-2015); American General Securities in Skokie, Illinois (2002-2006); and Franklin Financial Services Corporation in Houston, Texas (1998-2002). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 3, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 3, 1998; Series 7 (General Securities Representative Examination), which he obtained on May 25, 1999; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 6, 1998; and Series 24 (General Securities Principal Examination), which he obtained on August 12, 1999. He is a registered broker and investment adviser with 28 US states and territories.

According to his BrokerCheck report, he has received one customer complaint, two pending customer complaints, and one denied customer complaint.

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Frederick Roehm Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 10, 2017 indicate that Illinois-based Ausdal Financial Partners broker Frederick Roehm has been named in a pending FINRA complaint and pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Roehm (CRD# 2340397).

Frederick Roehm has spent 24 years in the securities industry and has been registered with Ausdal Financial Partners in Schaumburg, Illinois since 2014. Previous registrations include FSC Securities in Schaumburg, Illinois and Waterstone Financial Group in Schaumburg, Illinois. He is a registered broker with 14 US states and territories: Arizona, California, Florida, Illinois, Indiana, Maine, Michigan, Nevada, North Carolina, Ohio, Tennessee, Texas, Wisconsin and Wyoming.

According to his BrokerCheck report, he has been named in a pending FINRA complaint and two pending customer complaints.