According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Fasanella (Fasanella), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fasanella recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Omar Henry (Henry), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henry recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Martens (Martens), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martens recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Steiner (Steiner), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steiner recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Forehand (Forehand), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forehand recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Davis (Davis), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lennard Van Der Feltz (Van Der Feltz), currently associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Van Der Feltz recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Malley (Malley), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malley recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Pence (Pence), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pence recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker J. Paul Escudero (Escudero), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Escudero recommended unsuitable investments in different investment products including debt securities among other…