Articles Tagged with triad advisors

Michael RobertsPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 22, 2018 indicate that Arizona-based Triad Advisors broker/adviser Michael Roberts has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Roberts (CRD# 4700058).

Michael Roberts has spent fourteen years in the securities industry and has been registered with Triad Advisors in Mesa, Arizona and Eugene, Oregon since July 2017. Previous registrations include Coastal Equities in Eugene, Oregon (2015-2017); Centaurus Financial in Chandler, Arizona (2012-2015); JP Turner & Company in Chandler, Arizona (2007-2012); Brookstreet Securities Corporation in Eugene, Oregon (2007); and Raymond James Financial Services in Eugene, Oregon (2003-2007). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 21, 2003, and Series 7 (General Securities Representative Examination), which he obtained on September 29, 2003. He is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Colorado, Georgia, Hawaii, Idaho, Iowa, Kansas, Maryland, Minnesota, Nebraska, Nevada, New York, Oregon, Tennessee, Texas, Utah, Virginia and Washington.

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

Michael RobertsPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2018 indicate that Arizona-based Triad Advisors broker/adviser Michael Roberts has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roberts (CRD# 4700058).

Michael Roberts has spent 14 years in the securities industry and has been registered with Triad Advisors in Mesa, Arizona and Eugene, Oregon since July 2017. Previous registrations include Coastal Equities in Eugene, Oregon (2015-2017); Centaurus Financial in Chandler, Arizona (2012-2015); JP Turner & Company in Chandler, Arizona (2007-2012); Brookstreet Securities Corporation in Eugene, Oregon (2007); and Raymond James Financial Services in Eugene, Oregon (2003-2007). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 21, 2003, and Series 7 (General Securities Representative Examination), which he obtained on September 29, 2003. He is a registered broker and investment adviser with nineteen US states and territories: Arizona, California, Colorado, Georgia, Hawaii, Idaho, Iowa, Kansas, Maryland, Minnesota, Nebraska, New York, Oregon, Tennessee, Texas, Utah, Virginia and Washington.

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

Rebecca TruePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 22, 2017 indicate that Florida-based Triad Advisors broker/adviser Rebecca True has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. True (CRD# 4474579).

Rebecca True has spent fourteen years in the securities industry and has been registered with Triad Advisors in Orlando, Florida since 2009. Previous registrations include Merrill Lynch in Orlando, Florida; AdVest in Orlando, Florida; and Banc of America Securities in New York, New York. She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 31 (Futures Managed Funds Examination). She is a registered broker and investment adviser with seven US states and territories: Colorado, Florida, New Jersey, New York, Ohio, Pennsylvania and Texas.

According to her BrokerCheck report, Rebecca True has received one pending customer complaint.

Elliot HarrisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 12, 2016 indicate that former Georgia-based Triad Advisors broker Elliot Harris has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harris (CRD# 2496586).

Elliot Harris has spent 21 years in the securities industry and was most recently registered with Triad Advisors in Norcross, Georgia (2010-2015). Previous registrations include Ladenburg Thalmann & Company in Boca Raton, Florida; Morgan Stanley Smith Barney in New York, New York; Citigroup Global Markets in New York, New York; AXA Advisors in Melville, New York; Ladenburg Thalmann & Company in New York, New York; and Ladenburg Capital Management in Bethpage, New York. He is currently not registered with any state or firm.

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

Douglas MillerPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that former Ohio-based Triad Advisors broker/adviser Douglas Miller has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 1946240).

Douglas Miller has spent 25 years in the securities industry and was most recently registered with Triad Advisors in Toledo, Ohio (2005-2014). Previous registrations include Walnut Street Securities in El Segundo, California; Royal Alliance Associates in New York, New York; and Integrated Resources Equity Corporation. He is currently not registered with any state or firm. Continue Reading