Articles Tagged with Signator Investors

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Michael MarlowePublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Signator Investors broker Michael Marlowe has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Marlowe (CRD# 2246020).

Michael Marlowe has spent 25 years in the securities industry and has been registered with Signator Investors in Williamsville, New York since 2005. Previous registrations include NYLife Securities in New York, New York (2004-2005); Pruco Securities in Newark, New Jersey (2001-2003); NYLife Securities in New York, New York (1999-2001); and Pruco Securities in Newark, New Jersey (1992-1999). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 16, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 27, 1992; Series 7 (General Securities Representative Examination), which he obtained on February 19, 2002; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 27, 1992; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on June 27, 2001. He is a registered broker with four US states: Arizona, Florida, Nevada, and New York.

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report, he has received one customer complaint, one pending customer complaint, and one customer complaint that was withdrawn.

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Fred SmithPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that former Tennessee-based Signator Investors broker/adviser Fred Smith has been involved in several customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 5654465).

Fred Smith has spent seven years in the securities industry and was most recently registered with Signator Investors in Lafayette, Tennessee (2015-2017). Previous registrations include Signator Financial Services in Lafayette, Tennessee (2010-2015); Cambridge Investment Research in Lafayette, Tennessee (2010); and Edward Jones in Red Boiling Springs, Tennessee (2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 29, 2009, and Series 7 (General Securities Representative Examination), which he obtained on May 19, 2009. He is currently not registered with any state or firm.

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

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Joseph Oakes

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that New Jersey-based Signator Investors broker/adviser Joseph Oakes is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Oakes (CRD# 350102).

Joseph Oakes has spent 49 years in the securities industry and has been registered with Signator Investors in Livingston, New Jersey since 1968. Previous registrations include John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1971-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 28, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 27, 1984; Series 1 (Registered Representative Examination), which he obtained on August 22, 1968; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on April 14, 2003; and Series 24 (General Securities Principal Examination), which he obtained on April 1, 1996. He is a registered broker with one US state (New Jersey) and one self-regulatory organization (FINRA).

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

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Linda KirschkePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 27, 2017 indicate that Michigan-based Signator Investors broker Linda Kirschke has been named in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kirschke (CRD# 2304841).

Linda Kirschke has spent 24 years in the securities industry and has been registered with Signator Investors in Southgate, Michigan since 1993. She was previously registered with John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1993-1997). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 6 (Investment Company Products/Variable Contracts Representative Examination). She is a registered broker with four US states and territories: Arizona, the District of Columbia, Florida and Michigan.

According to her BrokerCheck report, she has received two customer complaints and one pending customer complaint.

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Keith SmithPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Pennsylvania-based Signator Investors broker Keith Smith 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. Smith (CRD# 4621927).

Keith Smith has spent eleven years in the securities industry and was most recently registered with Signator Investors in Mountain Top, Pennsylvania (2006-2017). He has no previous registrations. 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, he has received one pending customer complaint and two denied customer complaints, and was terminated from his former employer.

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Brian Murphy

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 2, 2017 indicate that former Pennsylvania-based Signator Investors broker Brian Murphy has been 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. Murphy (CRD# 2953503).

Brian Murphy has spent eight years in the securities industry and was most recently registered with Signator Investors in Yeardley, Pennsylvania (2015-2016). Previous registrations include MetLife Securities in Moorestown, Pennsylvania; AXA Advisors in Marlton, New Jersey; and Metropolitan Life Insurance Company in Mount Laurel, New Jersey. Series 66 (Uniform Combined State Law Examination), Series 7 (General Securities Representative Examination), and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

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