Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Delaware-based Berthel Fisher & Company broker/adviser Jerome Poole was recently discharged from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Poole (CRD# 847756).
Jerome Poole has spent 40 years in the securities industry and was most recently registered with Berthel Fisher & Company in Wilmington, Delaware (2017-2018). Previous registrations include Kovack Securities in Wilmington, Delaware (2008-2017); Invest Financial Corporation in Wilmington, Delaware (2007-2008); Wharton Equity Corporation in Wilmington, Delaware (2004-2007); Mony Securities Corporation in New York, New York (2002-2004); Wharton Equity Corporation in Wayne, Pennsylvania (1989-2002); Manequity in Boston, Massachusetts (1978-1989); and Capital Placement Service (1976-1981). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 3, 1987; Series 7 (General Securities Representative Examination), which he obtained on September 15, 1984; and Series 1 (Registered Representative Examination), which he obtained on January 9, 1978. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one customer complaint and was discharged from a former employer in connection to alleged rule violations.