Articles Tagged with Commonwealth Financial Network

Todd KimmPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former New York-based Commonwealth Financial Network broker Todd Kimm has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kimm (CRD# 2800913).

Todd Kimm has spent 21 years in the securities industry and was most recently registered with Commonwealth Financial Network in Syracuse, New York (2014-2017). He was previously registered with Merrill Lynch in Syracuse, New York (1996-2014). he has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 21, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 21, 1996; and Series 7 (General Securities Representative Examination), which he obtained on November 5, 1996. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction, one customer complaint, and one denied customer complaint.

Daniel Dae Young Uhm

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that former Washington-based Commonwealth Financial Network broker/adviser Daniel Dae Young Uhm has been the subject of customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Uhm (CRD# 4701186).

Daniel Dae Young Uhm has spent 13 years in the securities industry and was most recently registered with Commonwealth Financial Network in Seattle, Washington (2014-2017). Previous registrations include Ameriprise Financial Services in Seattle, Washington; Securities America in Seattle, Washington; Wamu Investments in Seattle, Washington; Merrill Lynch in Bellevue, Washington; IDS Life Insurance Company in Minneapolis, Minnesota; and American Express Financial Advisors in Minneapolis, Minnesota. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law ExaminationDec 10, 2003) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

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

Jollene AustinPublic records published by the Financial Industry Regulatory Authority (FINRA) on February 22, 2017 indicate that New York-based Revere Securities broker Jollene Austin resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Austin (CRD# 2997663).

Jollene Austin has spent eighteen years in the securities industry and has been registered with Revere Securities in New York, New York since October 2016. Previous registrations include Rothschild Lieberman in New York, New York; Newport Coast Securities in New York, New York; Securities America in Mills River, North Carolina; Commonwealth Financial Network in Mills River, North Carolina; LPL Financial in Mills River, North Carolina; Edward Jones in Mills River, North Carolina; UBS Painewebber in Weehawken, New Jersey; Salomon Smith Barney in New York, New York; Merrill Lynch in New York, New York; American Express Financial Advisors in Minneapolis, Minnesota; and IDS Life Insurance in Minneapolis, Minnesota. She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 65 (Uniform Investment Adviser Law Examination). She is a registered broker with seven US states and territories: Colorado, Connecticut, Indiana, New York, North Carolina, Rhode Island, and South Carolina.

According to her BrokerCheck report, Jollene Austin has received one denied customer complaint and resigned from a former employer in connection to alleged misconduct.

Gilbert GreerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on January 31, 2017 indicate that former Utah-based Commonwealth Financial Network broker/adviser Gilbert Greer has been named in a pending FINRA complaint and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greer (CRD# 723153).

Gilbert Greer has spent 28 years in the securities industry and was most recently registered with Commonwealth Financial Network in Alpine, Utah (2005-2016). Previous registrations include Walnut Street Securities in El Segundo, California; Nathan & Lewis Securities in New York, New York; Washington Square Securities in Des Moines, Iowa; Interwest Securities Corporation; First Columbia Corporation; Petronomics Corporation; and EI Corporation.

According to his BrokerCheck report, Gilbert Greer has received one customer dispute.