Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 22, 2017 indicate that Pennsylvania-based Geneos Wealth Management broker/adviser Richard Braverman has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Braverman (CRD# 1023227).
Richard Braverman has spent 35 years in the securities industry and has been registered with Geneos Wealth Management in Lancaster, Pennsylvania since 2008. Previous registrations include FSC Securities Corporation in Lancaster, Pennsylvania (1997-2008); Royal Alliance Associates in Jersey City, New Jersey (1997); Keogler Morgan & Company in Atlanta, Georgia (1987-1997); Hibbard Brown & Company (1987); Eric Securities (1984-1986); Investors Brokerage Services (1984); and John Hancock Distributors (1982-1984). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 12, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1982; Series 7 (General Securities Representative Examination), which he obtained on January 17, 1987; Series 22 (Direct Participation Programs Representative Examination), which he obtained on July 5, 1984; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 22, 1982; and Series 24 (General Securities Principal Examination), which he obtained on October 15, 1997. He is a registered broker and investment adviser with 28 US states and territories
According to his BrokerCheck report, he has received three customer complaints and one denied customer complaint, and resigned from a former employer in connection to alleged rule violations.