Articles Tagged with Cetera Advisors

Published on:

Bill Libardoni

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 5, 2018 indicate that Massachusetts-based Cetera Advisors broker/adviser Bill Libardoni has received pending customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Libardoni (CRD# 706551).

Bill Libardoni has spent 38 years in the securities industry and has been registered with Cetera Advisors in Salem, Massachusetts since 2016. Previous registrations include Investors Capital Corporation in Salem, Massachusetts (2006-2016); Prime Capital Services in Salem, Massachusetts (1999-2006); SunAmerica Securities in Phoenix, Arizona (1995-1999); Sun Investment Services Company in Wellesley Hills, Massachusetts (1990-1995); Linsco/Private Ledger Corporation in Boston, Massachusetts (1989-1990); Linsco Financial Group (1989); ManEquity in Boston, Massachusetts (1986-1989); and Sun Investment Services (1980-1986). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 13, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 11, 1990; and Series 1 (Registered Representative Examination), which he obtained on March 22, 1980. He is a registered broker and investment adviser with nine US states: Connecticut, Florida, Louisiana, Maine, Massachusetts, New Hampshire, Pennsylvania, Rhode Island, and Vermont.

According to his BrokerCheck report, he has received two pending customer complaints.

Published on:

Abraham HeimannPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2017 indicate that former Georgia-based Cetera Advisors broker Abraham Heimann is involved in numerous pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Heimann (CRD# 1315922).

Abraham Heimann has spent 31 years in the securities industry and was most recently registered with Cetera Advisors in Alpharetta, Georgia (2013-2016). Previous registrations include Oppenheimer & Company in Atlanta, Georgia (2002-2003); Josephthal & Company in New York, New York (2001-2002); Morgan Stanley DW in Purchase, New York (1999-2001); Bear Stearns & Company in New York, New York (1988-1999); Shearson Lehman Hutton (1986-1988); Oppenheimer & Company (1985-1986); and Philips Appel & Walden (1984-1985). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 4, 1984 and Series 7 (General Securities Representative Examination), which he obtained on November 17, 1984. He is currently not registered with any state or firm.

According to his BrokerCheck report, Abraham Heimann has received five pending customer complaints.

Published on:

Abraham HeimannPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Georgia-based Cetera Advisors broker Abraham Heimann has received several pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Heimann (CRD# 1315922).

Abraham Heimann has spent 31 years in the securities industry and was most recently registered with Cetera Advisors in Alpharetta, Georgia (2013-2016). Previous registrations include Oppenheimer & Company in Atlanta, Georgia; Josephthal & Company in New York, New York; Morgan Stanley DW in Purchase, New York; Bear Stearns & Company in New York, New York; Shearson Lehman Hutton; Oppenheimer & Company; and Philips Appel & Walden. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three pending customer complaints.

Published on:

Erinn FordPublic records provided by the Financial Industry Regulatory Authority (FINRA) on April 17, 2017 indicate that Colorado-based Cetera Advisors broker/adviser Erinn Ford has been the subject of more than a dozen customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Ford (CRD# 2176816).

Erinn Ford has spent 243 years in the securities industry and has been registered with Cetera Advisors in Denver, Colorado since 2012. She was previously registered with Pacific West Securities in Renton, Washington (1992-2012). She is a registered broker and investment adviser with California and Washington.

According to her BrokerCheck report, she has received fourteen customer complaints

Published on:

Christopher Smith

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 8, 2017 indicate that Arizona-based Cetera Advisors broker/adviser Christopher Smith has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 2265603).

Christopher Smith has spent 24 years in the securities industry and has been registered with Cetera Advisors in Payson, Arizona since November 2015. Previous registrations include Wells Fargo Advisors Financial Network in Payson, Arizona (2004-2015) and Edward Jones in St. Louis, Missouri (1992-2004). He has passed five securities industry examinations: He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); and Series 10 (General Securities Sales Supervisor – General Module Examination). He is a registered broker and investment adviser with 21 US states and territories.

According to his BrokerCheck report, Christopher Smith has received one pending customer complaint and three denied customer complaints.

Published on:

Ken BalserPublic records published by the Financial Industry Regulatory Authority (FINRA) on February 20, 2017 indicate that former Colorado-based Cetera Advisors broker/adviser Ken Balser has been sanctioned by FINRA and permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Balser (CRD# 704053).

Ken Balser has spent eleven years in the securities industry and was most recently registered with Cetera Advisors in Colorado Springs, Colorado (2013-2016). Previous registrations include LPL Financial in Colorado Springs, Colorado; Merrill Lynch in Colorado Springs, Colorado; UBS Financial Services in Weehawken, New Jersey; and AG Edwards & Sons in St. Louis, Missouri. He has passed four securities industry examinations: Series 7 (General Securities Representative Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 66 (Uniform Combined State Law Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Ken Balser has received two regulatory sanctions and was recently terminated from his position at Cetera Advisors.

Published on:

Arlo Stoll

Public records published by the Financial Industry Regulatory Authority (FINRA) on February 13, 2017 indicate that Oregon-based Cetera Advisors broker/adviser Arlo Stoll has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stoll (CRD# 2863903).

Arlo Stoll has spent nineteen years in the securities industry and has been registered with Cetera Advisors in Salem, Oregon since 2012. Previous registrations include Pacific West Securities in Salem, Oregon; Rushmore Securities in Dallas, Texas; Northstar Securities in Dallas, Texas; and WMA Securities in Duluth, Georgia. He is a registered broker and investment adviser with ten US states and territories.

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

Published on:

Richard VincentPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 3, 2017 indicate that California-based Cetera Advisors broker/adviser Richard Vincent has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking investors who have complaints regarding Mr. Vincent (CRD# 1609726).

Richard Vincent has spent 29 years in the securities industry and has been registered with with Cetera Advisors in Alameda, California since October 2016. Previous registrations include Investors Capital Corporation in Alameda, California; SunPoint Securities in Longview, Texas; John Hancock Distributors in Boston, Massachusetts; John Hancock Mutual Life Insurance Company in Boston, Massachusetts; and Barbarian Securities in Los Angeles, California. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with nine US states and territories: Arizona, California, Florida, Massachusetts, Nevada, Oregon, Texas, Vermont, and Washington.

According to his BrokerCheck report, Richard Vincent has received one customer complaint and one closed customer complaint.

Published on:

Patricia Graham

Public records published by the Financial Industry Regulatory Authority (FINRA) on February 3, 2017 indicate that Massachusetts-based Cetera Advisors broker/adviser Patricia Graham has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Graham (CRD# 1103322).

Patricia Graham has spent 33 years in the securities industry and has been registered with Cetera Advisors in Dennis, Massachusetts since October 2016. Previous registrations include Investors Capital Corporation in South Dennis, Massachusetts; InterSecurities in St. Petersburg, Florida; NYLife Securities in New York, New York; and PW Securities. She has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 22 (Direct Participation Programs Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 24 (General Securities Principal Examination). She is a registered broker and investment adviser with four US states and territories: Florida, Maryland, Massachusetts and New Hampshire.

According to his BrokerCheck report, Patricia Graham has received one customer complaint.

Published on:

Gerard Figari

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 3, 2017 indicate that Florida-based Cetera Advisors broker/adviser Gerard Figari has been the subject of several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Figari (CRD# 1343962).

Gerard Figari has spent 31 years in the securities industry and has been registered with Cetera Advisors in Stuart, Florida since September 2016. Previous registrations include Investors Capital Corporation in Stuart, Florida; Makefield Securities Corporation in Stuart, Florida; Prudential Securities in New York, New York; Barnett Investments in Jacksonville, Florida; Shearson Lehman Hutton; and EF Hutton & Company. He is a registered broker and investment adviser with twelve US states and territories: Arizona, California, Florida, Georgia, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, South Carolina, Texas, and Virginia.

According to his BrokerCheck report, he has received five customer complaints.