Articles Tagged with Devin Wicker

Devin Wicker

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that New York-based JVB Financial Group broker Devin Wicker has been sanctioned by the SEC and named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wicker (CRD# 4228250).

Devin Wicker has spent 16 years in the securities industry and has been registered with JVB Financial Group in New York, New York since November 2017. Previous registrations include Tribal Capital Markets in Summit, New Jersey (2016-2017); Bonwick Capital Partners in New York, New York (2012-2016); Odeon Capital Group in New York, New York (2010-2012); and Goldman Sachs & Company in New York, New York (2000-2010). He has passed eight securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 13, 2000; Series 87 (Research Analyst Exam – Part II Regulations Module), which he obtained on October 21, 2013; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on May 25, 2011; Series 7 (General Securities Representative Examination), which he obtained on October 23, 2000; Series 4 (Registered Options Principal Examination), which he obtained on June 22, 2011; Series 27 (Financial and Operations Principal Examination), which he obtained on May 3, 2011; Series 53 (Municipal Securities Principal Examination), which he obtained on February 1, 2011; and Series 24 (General Securities Principal Examination), which he obtained on September 17, 2010. He is a registered broker with the state of New York.

According to his BrokerCheck report, Devin Wicker has received one regulatory sanction, one pending customer complaint, and one pending regulatory sanction. He was also discharged from a former employer in connection to alleged rule violations.

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