Articles Tagged with Cetera Wealth Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kirkland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on February 02, 2026.

Customer alleges the investment they purchased were  not suitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on February 02, 2026.

Customer alleges the investments they purchased were not suitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rene Randel (Randel), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Randel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on February 04, 2026.

Customer alleges that his instructions were not followed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ann Reagan (Reagan), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reagan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $112,766.00 on February 06, 2026.

Customer alleges 2021 trading strategy and funding were not authorized.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Frisch (Frisch), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frisch recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $112,766.00 on February 06, 2026.

Customer alleges 2021 trading strategy and funding were not authorized

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Monheit (Monheit), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monheit recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $112,766.00 on February 06, 2026.

Client alleged the representative misappropriated her non-qualified cash that was deposited into her discretionary fee-based managed wrap account by investing the cash into the market in September2021 without her authorization. On October 4, 2022, an additional allegation was received alleging the investments were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Brownlee (Brownlee), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brownlee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on September 24, 2020.

Claimant alleged the representative misrepresented the financial strength and viability of BLO Beauty Bar, a business the claimant purchased from the representative’s spouse. After purchasing, the claimant became sole owner and manager of the business and was responsible for the business’s success.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Raines (Raines), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raines recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on October 05, 2020.

Clients allege they were not told about the surrender charges and the tax liability they would incur when they surrendered their contract in August 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pearcy (Pearcy), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pearcy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $554,000.00 on November 13, 2020.

The complainant’s allege that the variable universal life policy sold on January 14, 1999 was misrepresented, and the representative said they could expect an annual return of 10%. The policy has since collapsed, even though their annual premiums have been paid for 20 years.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Slattery (Slattery), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Slattery recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $65,000.00 on February 16, 2021.

Claimants allege their registered representative recommended unsuitable and illiquid alternative investments.

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