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.