Articles Tagged with HD Vest Investment Services

Brian Royster

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 23, 2018 indicate that former Michigan-based HD Vest Investment Services broker/adviser Brian Royster has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Royster (CRD# 4766877).

Brian Royster has spent nine years in the securities industry and was most recently registered with HD Vest Investment Services in Ann Arbor, Michigan (2014-2017). Previous registrations include LPL Financial in Ann Arbor, Michigan (2013-2014); Edward Jones in Ann Arbor, Michigan (2010-2013); State Farm VP Management Corporation in Ann Arbor, Michigan (2008-2010); and NYLife Securities in New York, New York (2004-2006). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 7, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 10, 2008; Series 7 (General Securities Representative Examination), which he obtained on April 22, 2010; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 24, 2008. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction, two customer complaints, and one pending customer complaint, and he was discharged from a former employer in connection to alleged rule violations.

Jerry RainesPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 19, 2018 indicate that former Texas-based HD Vest Investment Services broker Jerry Raines has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Raines (CRD# 4578689).

Jerry Raines has spent 11 years in the securities industry and was most recently registered with HD Vest Investment Services in Kilgore, Texas (2014-2017). Previous registrations include Signal Securities in Kilgore, Texas (2013-2014) and Woodmen Financial Services in Kilgore, Texas (2004-2010, 2011-2012). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 8, 2004, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 13, 2004. He is currently not registered with any state or firm.

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

Frank KellyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that Pennsylvania-based HD Vest Investment Services broker Frank Kelly has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kelly (CRD# 2028226).

Frank Kelly has spent 26 years in the securities industry and has been registered with HD Vest Investment Services in New Cumberland, Pennsylvania since 1995. He was previously registered with GR Phelps & Company (1991-1995). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 30, 1991; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 19, 1991; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on August 24, 1998. He is a registered broker with seven US states and territories: Florida, Maryland, Nevada, New Jersey, New York, Pennsylvania, and Virginia.

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

William Ditty Public records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that Ohio-based HD Vest Investment Services broker/adviser William Ditty, Jr. has been named in a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ditty (CRD# 2143553).

William Ditty has spent 24 years in the securities industry and has been registered with HD Vest Investment Services in Dublin, Ohio since 1991. He has no previous registrations. He is a registered broker and investment adviser in Ohio. Continue Reading