Articles Tagged with National Planning Corporation

Kevin Edwards

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 28, 2018 indicate that former Colorado-based National Planning Corporation broker/adviser Kevin Edwards has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Edwards (CRD# 4590951).

Kevin Edwards has spent twelve years in the securities industry and was most recently registered with National Planning Corporation in Denver, Colorado (2015-2016). Previous registrations include Woodbury Financial Services in Greenwood Village, Colorado (2012-2015); Allstate Financial Services in Castle Rock, Colorado (2010-2012); and Allstate Financial Services in Parker, Colorado (2002-2010). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 1, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 20, 2013; Series 7 (General Securities Representative Examination), which he obtained on July 21, 2012; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 8, 2002. He is currently not registered with any state or firm.

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

William GlaserPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 11, 2017 indicate that former Missouri-based National Planning Corporation broker/adviser William Glaser, who has been barred by FINRA from acting as a broker, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Glaser (CRD# 1274847).

William Glaser has spent 32 years in the securities industry and was most recently registered with National Planning Corporation in St. Albans Rd., Missouri (2007-2017). Previous registrations include Investment Planners in Chesterfield, Missouri (2002-2007); Cutter & Company in Ballwin, Missouri (1996-2001); JE Liss & Company in Milwaukee, Wisconsin (1991-1996); Walnut Street Securities in El Segundo, California (1989-1991); Investment Management & Research in St. Petersburg, Florida (1989); Integrated Resources Equity Corporation (1989); Mark Twain Brokerage Services (1987-1988); and ISFA Corporation (1984-1987). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 20, 1984, and Series 7 (General Securities Representative Examination), which he obtained on July 21, 1984. He is currently not registered with any state or firm.

According to his BrokerCheck report, William Glaser has received one FINRA sanction, one customer complaint, one pending customer complaint, and has been discharged from a former employer and named in a pending criminal investigation.

Kurt FilipovichPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 23, 2017 indicate that former California-based National Planning Corporation broker/adviser Kurt Filipovich has been the subject of a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Filopovich (CRD# 4063741).

Kurt Filipovich has spent fifteen years in the securities industry and was most recently registered with National Planning Corporation in Carlsbad, California (2010-2016). Previous registrations include AXA Advisors in Carlsbad, California; Mony Securities in New York, New York; and Trusted Securities Advisors in New York, New York. He has passed two securities industry examinations: Series 66 (Uniform Combined 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, Kurt Filipovich has received one customer complaint.

Brad MyersPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 9, 2017 indicate that Utah-based National Planning Corporation broker/adviser Brad Myers has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Myers (CRD# 4171462).

Brad Myers has spent sixteen years in the securities industry and has been registered with National Planning Corporation in South Jordan, Utah since 2008. Previous registrations include Hornor Townsend & Kent in Salt Lake City, Utah (2003-2008) and Princor Financial Services in Des Moines, Iowa (2000-2003). He has passed five securities industry examinations: Series 24 (General Securities Principal Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); Series 7 (General Securities Representative Examination); 65 (Uniform Investment Adviser Law Examination); and Series 63 (Uniform Securities Agent State Law Examination). He is a registered broker and investment adviser with eleven US states and territories: aAlaska, Arizona, California, Colorado, Idaho, Indiana, Montana, Nevada, New Mexico, Oregon and Utah.

According to his BrokerCheck report, Brad Myers has received one customer complaint and four denied customer complaints.

Eric SchindlerPublic records filed by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that California-based LPL Financial broker/adviser Eric Schindler has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Schindler (CRD# 1439999).

Eric Schindler has spent 29 years in the securities industry and has been registered with LPL Financial in La Mesa, California since April 2016. Previous registrations include Cetera Advisors in La Mesa, California; Pacific West Securities in La Mesa, California; National Planning Corporation in El Segundo, California; Sentra Securities in Phoenix, Arizona; United Pacific Securities in Carlsbad, California; and Locust Street Securities in Des Moines, Iowa. He is a registered broker and investment adviser with thirteen US states and territories: Arkansas, California, Colorado, Florida, Georgia, Idaho, Michigan, Missouri, Nevada, Texas, Virginia, and Washington.

According to his BrokerCheck report, Eric Schindler has received three customer complaints and one pending customer complaint.