Articles Tagged with Sagepoint Financial

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Paul MauroPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that Massachusetts-based Sagepoint Financial broker/adviser Paul Mauro was recently sanctioned by state authorities in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mauro (CRD# 824304).

Paul Mauro has spent 41 years in the securities industry and has been registered with Sagepoint Financial in Westborough, Massachusetts since November 2017. Previous registrations include SII Investments in Westborough, Massachusetts (2007-2017); Legacy Financial Services in Milford, Massachusetts (1999-2007); InterSecurities in St. Petersburg, Florida (1995-1999); PML Securities in Newark, Delaware (1991-1995); RG Dickinson & Company in Des Moines, Iowa (1990-1991); JT Moran & Company (1988-1990); Buttonwood Securities Corporation of Massachusetts (1987-1988); John Hancock Mutual Life Insurance Company (1976-1987); and John Hancock Distributors (1976-1987). he has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 21, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 29, 1988; and Series 1 (Registered Representative Examination), which he obtained on June 26, 1976. He is a registered broker and investment adviser with 26 US states and territories.

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

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Delio Londono

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 21, 2018 indicate that California-based Sagepoint Financial broker/adviser Delio Londono is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Londono (CRD# 2695744).

Delio Londono has spent 17 years in the securities industry and has been registered with Sagepoint Financial in La Crescenta, California since 2010. Previous registrations include Unionbanc Investment Services in Studio City, California (2008-2010); Banc of America Investment Services in Sherman Oaks, California (2007-2008); Banc of America Investment Services in San Fernando, California (2003-2006); and Morgan Stanley DW in Purchase, New York (2000-2003). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 7, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on August 30, 2000; Series 7 (General Securities Representative Examination), which he obtained on June 9, 2000; and Series 24 (General Securities Principal Examination), which he obtained on September 6, 2005. He is a registered broker and investment adviser with three US states: California, Florida, and Nevada.

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

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Christopher Bice Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that North Carolina-based Sagepoint Financial broker/adviser Christopher Bice has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bice (CRD# 3222439).

Christopher Bice has spent 18 years in the securities industry and has been registered with Sagepoint Financial in Greensboro, Mooresville, and Salisbury, North Carolina since 2005. Previous registrations include SunAmerica Securities in Phoenix, Arizona (2003-2005); AG Edwards & Sons in St. Louis, Missouri (2002-2003); and UBS Painewebber in Weehawken, New Jersey (1999-2002). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 8, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 24, 1999; and Series 7 (General Securities Representative Examination), which he obtained on June 21, 1999. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Kansas, Louisiana, Maryland, Massachusetts, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and West Virginia.

According to his BrokerCheck report, he has received one customer complaint and two customer complaints that were closed or denied.

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Bruce SlaterPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that Michigan-based Sagepoint Financial broker/adviser Bruce Slater has been involved in several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Slater (CRD# 1547792).

Bruce Slater has spent 31 years in the securities industry and has been registered with Sagepoint Financial in Northville, Michigan since 2016. Previous registrations include TransAmerica Financial Advisors in Northville, Michigan (1997-2016); Mariner Financial Services in Largo, Florida (1991-1997); Robert W. Baird & Company in Milwaukee, Wisconsin (1988-1991); and Northwestern Mutual Investment Services in Milwaukee, Wisconsin (1986-1991). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 1, 1988; Series 7 (General Securities Representative Examination), which he obtained on July 27, 1990; Series 22 (Direct Participation Programs Representative Examination), which he obtained on April 15, 1988; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 12, 1986; and Series 24 (General Securities Principal Examination), which he obtained on September 27, 1991. He is a registered broker and investment adviser with 37 US states and territories.

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

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Michael SeymourPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 28, 2017 indicate that Pennsylvania-based Sagepoint Financial broker/adviser J. Michael Seymour has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Seymour (CRD# 2480641).

J. Michael Seymour has spent 23 years in the securities industry and has been registered with Sagepoint Financial in Newtown, Pennsylvania since 2005. Previous registrations include SunAmerica Securities in Phoenix, Arizona (2005) and Morgan Stanley DW in Purchase, New York (1994-2005). he has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with nine US states and territories: Arizona, California, Connecticut, Florida, Maryland, New Jersey, North Carolina, and Pennsylvania.

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

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Christopher CalandraPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 7, 2017 indicate that Connecticut-based Sagepoint Financial broker Christopher Calandra has been sanctioned by state authorities in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Calandra (CRD# 2253639).

Christopher Calandra has spent 25 years in the securities industry and has been registered with Sagepoint Financial in Southington and Summerfield, Connecticut since 2005. Previous registrations include Banc of America Investment Services in Boston, Massachusetts (2004-2005); Quick & Reilly in New York, New York (2004); Investors Capital Corporation in Lynnfield, Massachusetts (2001-2004); Nathan & Lewis Securities in New York, New York (1998-2001); Polaris Financial Services in Concord, New Hampshire (1995-1998); and First Investors Corporation in New York, New York (1992-1995). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with 28 US states and territories.

According to his BrokerCheck report, he was recently sanctioned by state authorities.

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Russell JonesPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 13, 2017 indicate that Michigan-based Sagepoint Financial broker/adviser Russell Jones has been the subject of numerous customer disputes. Fitapelli Kurta is interested in speaking investors who have complaints regarding Mr. Russell Jones (CRD# 1383542).

Russell Jones has spent thirty years in the securities industry and has been registered with Sagepoint Financial in Troy, Michigan since 2010. Previous registrations include Summit Brokerage Services in Troy, Michigan; Mutual Service Corporation in Troy, Michigan; Vestax Securities Corporation in Hudson, Ohio; Equico Securities in New York, New York; and the Equitable Life Assurance Society of the United States. He is a registered broker and investment adviser with US states and territories.

According to his BrokerCheck report, he has received nine customer complaints, one pending customer complaint, and three civil judgments or liens.

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John BurnsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 7, 2016 indicate that former Missouri-based Sagepoint Financial broker John Burns is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Burns (CRD# 5303146).

John Burns has spent eight years in the securities industry and was most recently registered with Sagepoint Financial in Wentzville, Missouri (2015). Previous registrations include Ameriprise Financial Services in Chesterfield, Missouri; UBS Financial Services in Chesterfield, Missouri; and Edward Jones in St. Charles, Missouri. He is currently not registered with any state or firm.

According to his BrokerCheck report, John Burns has received three customer complaints, two pending customer complaints, and one regulatory sanction.

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Sagepoint FinancialThe Securities and Exchange Commission (SEC) has filed a complaint against Arizona-based brokerage/advisory firm Sagepoint Financial. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Sagepoint Financial (CRD# 133763).

Formed in Delaware in 2004, Sagepoint Financial is headquartered in Phoenix, Arizona and registered with 53 US states and territories. Jeffrey Auld is Chief Executive Officer and President; Inger Fields is Vice President, Treasurer and Financial Operations Principal; Robert Guldner is Chief Compliance Officer, Investment Advisory; Erica McGinnis is Chairperson; Justin Sacca is Vice President and Chief Compliance Officer; Matthew Schlueter is Chief Operations Officer and Executive Vice President. Sagepoint Financial is indirectly owned by American Investment Group (AIG). Continue reading →

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The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding South Carolina-based Securities Service Network broker/adviser Hoke Shuler (CRD# 2614487).

Hoke Shuler has spent fifteen years in the securities industry and has been registered with Securities Service Network in Charleston, South Carolina since 2009. Previous registrations include Sagepoint Financial in Charleston, South Carolina (2005-2009); SunAmerica Securities in Phoenix, Arizona (2004-2005); Wells Fargo Investments in San Francisco, California (2002); GMAC Investment Services in Bloomington, Minnesota (1999-2000); American Express Financial Advisors in Minneapolis, Minnesota (1995-1998); and IDS Life Insurance Company in Minneapolis, Minnesota (1995-1998). He is a registered broker and investment adviser in ten US states. Continue reading →