Articles Tagged with AXA Advisors

Billy Zhang

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that former California-based AXA Advisors broker/adviser Billy Zhang recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zhang (CRD# 5510158).

Billy Zhang has spent nine years in the securities industry and was most recently registered with AXA Advisors in Los Angeles, California (2012-2018). Previous registrations include MetLife Securities in Pasadena, California (2011-2012) and AXA Advisors in Irvine, California (2008-2011). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 27, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 30, 2008; Series 7 (General Securities Representative Examination), which he obtained on December 29, 2010; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 23, 2008; and Series 24 (General Securities Principal Examination), which he obtained on December 21, 2012. He is currently not registered with any state or firm.

According to his BrokerCheck report, he recently resigned from his former employer in connection to alleged rule violations.

Garnet Wahlund

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Ohio-based AXA Advisors broker/adviser Garnet Wahlund has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wahlund (CRD# 2685273).

Garnet Wahlund has spent 22 years in the securities industry and has been registered with AXA Advisors in Cincinnati, Ohio since 2010. Previous registrations include ProEquities in Cincinnati, Ohio (2004-2010); American General Securities in Phoenix, Arizona (2002-2004); and Franklin Financial Services Corporation in Houston, Texas (1996-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 14, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 24, 1998; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 11, 1996; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on March 27, 2001. He is a registered broker and investment adviser with nine US states: California, Florida, Georgia, Indiana, Kentucky, Michigan, Ohio, Utah, and Virginia.

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

John Bergmann

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 9, 2018 indicate that former Michigan-based AXA Advisors broker/adviser John Bergmann was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bergmann (CRD# 2699869).

John Bergmann has spent twenty-one years in the securities industry and was most recently registered with AXA Advisors in Washington Township, Michigan (1996-2017). He was previously registered with The Equitable Life Assurance Society of the United States in New York, New York (1996-2000). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 22, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 12, 1996; Series 7 (General Securities Representative Examination), which he obtained on September 20, 1999; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 10, 1996; Series 53 (Municipal Securities Principal Examination), which he obtained on September 21, 2002; and Series 24 (General Securities Principal Examination), which he obtained on November 5, 1999. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, John Bergmann was discharged from his former employer in connection to alleged rule violations and has received seven financial disclosures.

FKlogoAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former New York-based Cambridge Investment Research broker Francesco Puccio has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Puccio (CRD# 3204237).

Francesco Puccio has spent sixteen years in the securities industry and was most recently registered with Cambridge Investment Research in Pittsford, New York (2014-2015). Previous registrations include AXA Advisors in Pittsford, New York (2011-2014); CCO Investment Services in Rochester, New York (2009-2011); AXA Advisors in Rochester, New York (1999-2009); and the Equitable Life Assurance Society of the United States in New York, New York (1999-2000). Mr. Puccio is currently not registered with any firm or state. Continue Reading