According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Thomas (Thomas), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 Matthew Divirgilio (Divirgilio), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Divirgilio 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 Scott Oliphant (Oliphant), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliphant 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 Steven Hayden (Hayden), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hayden 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 John Gaffney (Gaffney), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gaffney 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 Kevin Asano (Asano), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Asano 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 George Kangas (Kangas), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kangas 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 Daniel Mcpherson (Mcpherson), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson 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 Steven Skipper (Skipper), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skipper 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 Scott Oliphant (Oliphant), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliphant recommended unsuitable investments in different investment products including debt securities among other allegations…