Articles Tagged with LPL Financial

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Andrew ArnoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that Pennsylvania-based Cetera Advisors broker/adviser Andrew Arno was terminated from his former employer, LPL Financial, in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Arno (CRD# 2834759).

Andrew Arno has spent 20 years in the securities industry and has been registered with Cetera Advisors in Yardley, Pennsylvania since August 2017. Previous registrations include LPL Financial in Philadelphia, Pennsylvania (2004-2017) and WS Griffith Securities in Hartford, Connecticut (1997-2004). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with nine US states: Delaware, Florida, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania and South Carolina.

According to his BrokerCheck report, he was recently discharged from a former employer.

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Stephen GarrettPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 17, 2017 indicate that California-based LPL Financial broker/adviser Stephen Garrett has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Garrett (CRD# 218223).

Stephen Garrett has spent 42 years in the securities industry and has been registered with LPL Financial in Monrovia, California since 1993. Previous registrations include Grant Benningen in New York, New York (1992); Merrill Lynch in New York, New York (1978-1990); and Merrill Lynch (1973-1978). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 15 (Foreign Currency Options Examination); PC (AMEX Put and Call Exam); Series 1 (Registered Representative Examination); and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]). He is a registered broker and investment adviser with 8 US states and territories: Arizona, California, Illinois, Nevada, New Mexico, Oregon, Utah and Washington.

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

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Scott Garrison

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former California-based LPL Financial broker advisor Stanley Garrison, also known as Scott Garrison, has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Garrison (CRD# 1126118).

Stanley Scott Garrison has spent 32 years in the securities industry and was most recently registered with LPL Financial in Bakersfield, California (2009-2015). Previous registrations include Associated Securities Corporation in Bakersfield, California; FSC Securities in Bakersfield, California; Sentra Securities in Phoenix, Arizona; Prudential-Bache Securities; and Dean Witter Reynolds. He is currently not registered with any state or firm.

According to his BrokerCheck report, Stanley Scott Garrison has received one FINRA sanction and two customer complaints.

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Roger Zullo

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former Massachusetts-based LPL Financial broker/adviser Roger Zullo was recently sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Zullo (CRD# 1882087).

Roger Zullo has spent 28 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2004-2016). Previous registrations include Park Avenue Securities in New York, New York and Guardian Investor Services in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two regulatory sanctions, two customer complaints, and two pending customer complaints.

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Michael Hampton

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 8, 2017 indicate that former California-based LPL Financial broker/adviser Michael Hampton was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hampton (CRD# 4349202).

Michael Hampton has spent 14 years in the securities industry and was most recently registered with LPL Financial in Orangeville, California (2015-2016). Previous registrations include Ameriprise Financial Services in Roseville, California; Wells Fargo Investments in Roseville, California; and First Union Securities in St. Louis, Missouri. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), 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 FINRA sanctions.

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Robert Mitchell

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 25, 2017 indicate that Missouri-based LPL Financial broker/adviser Robert Mitchell has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mitchell (CRD# 4123902).

Robert Mitchell has spent 16 years in the securities industry and has been registered with LPL Financial in St. Charles, Missouri since 2008. Previous registrations include Edward Jones in St Peters, Missouri (2002-2008) and Financial World Corporation in Overland Park, Kansas (2000-2001). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with seven US states: Arizona, California, Illinois, Kansas, Missouri, Pennsylvania and Texas.

According to his BrokerCheck report, Robert Mitchell has received one pending customer complaint.

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Shane KellyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 27, 2017 indicate that former Florida-based LPL Financial broker Shane Kelly was discharged from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kelly (CRD# 3152000).

Shane Kelly has spent 17 years in the securities industry and was most recently registered with LPL Financial in Port Lucie, Florida (2014-2017). Previous registrations include Suntrust Investment Services in Delray Beach, Florida; PNC Investments in Loxahatchee, Florida; Key Investment Services in Ogden, Utah; LPL Financial in Ogden, Utah; XCU Capital Corporation in West Jordan, Utah; H&R Block Financial Advisors in Salt Lake City, Utah; JB Hanauer & Company in Parsippany, New Jersey; Wachovia Securities in St. Louis, Missouri; Merrill Lynch in New York, New York; Prudential Securities in New York, New York; and Baxter Banks & Smith in St. Petersburg, Florida. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Shane Kelly has received one customer complaint and was discharged from a former employer.

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Roger ZulloPublic records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that former Massachusetts-based LPL Financial broker/adviser Roger Zullo has been sanctioned by the State of Massachusetts and named in several pending regulatory complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zullo (CRD# 1882087).

Roger Zullo has spent 28 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2004-2016). Previous registrations include Park Avenue Securities in New York, New York and Guardian Investor Services in New York, New York. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), Series 6 (Investment Company Products/Variable Contracts Representative Examination), and Series 26 (Investment Company Products/Variable Contracts Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction and four pending customer complaints.

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Sanders Spangler

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017 indicate that former Texas-based LPL Financial broker Sanders Spangler was recently terminated from LPL and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Spangler (CRD# 4188542).

Sanders Spangler has spent sixteen years in the securities industry and was most recently registered with LPL Financial in San Antonio, Texas (2005-2017). He was previously registered with Edward Jones in St. Louis, Missouri (2000-2005). He has passed two securities industry examinations; Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Sanders Spangler was terminated from his former employer in connection to alleged policy violations.

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Eric KuchelPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 24, 2017 indicate that former California-based LPL Financial broker Eric Kuchel has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kuchel (CRD# 4118500).

Eric Kuchel has spent fifteen years in the securities industry and was most recently registered with LPL Financial in Brea, California (2014-2015). Previous registrations include Crown Capital Securities in Brea, California and Brookstreet Securities. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.

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