Search for: "Wachovia Securities Inc"
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4 Aug 2023, 7:34 am
Wachovia Securities, Inc. [read post]
14 Apr 2023, 11:30 am
Morgan Securities LLC E*Trade Securities LLC Yvonne Nguyen NYLife Securities LLC Robert Rich Wells Fargo Advisors Financial Network, LLC Wachovia Securities, LLC Alexandra Smith J.P. [read post]
9 Jan 2023, 9:01 pm
Allegations relate to the financial crisis from over a decade ago where a number of financial institutions – including Deutsche Bank Securities, RBS Securities, and Wachovia Capital Markets – misled investors within offering documents on various securities issued by NovaStar. [read post]
5 Jan 2023, 2:22 pm
Allegations relate to the financial crisis from over a decade ago where a number of financial institutions – including Deutsche Bank Securities, RBS Securities, and Wachovia Capital Markets – misled investors within offering documents on various securities issued by NovaStar. [read post]
28 Aug 2022, 9:45 am
From February 2002 through October 2004, Serizawa was registered with Wachovia Securities, LLC. [read post]
27 Apr 2022, 9:22 am
Inc. [read post]
9 Nov 2021, 12:46 pm
(CRD#:36719), of Westport, CT, and Wachovia Securities, LLC (CRD#:19616) of St. [read post]
19 Oct 2021, 7:41 am
Inc. [read post]
7 Oct 2021, 12:18 pm
He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. [read post]
2 Feb 2021, 7:25 am
(CRD#:46214) and LPL Financial Corporation (CRD#:6413), also of Danbury, CT, and Wachovia Securities, LLC (CRD#:19616) of Ossining, NY. [read post]
17 Jun 2020, 2:05 pm
Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. [read post]
24 Dec 2019, 10:49 am
His previous employers include National Securities Corporation (CRD#:7569), also of Boca Raton, Fl, Jesup & Lamont Securities CORP (CRD#:39056, expelled by FINRA on 11/04/2010), and Wachovia Securities, LLC (CRD#:19616), both of Fort Lauderdale, FL. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
21 Jun 2019, 12:21 pm
With 26 years in the industry, He has also been a registered broker for Wachovia Securities, First Union Brokerage Services, Merrill Lynch, and Chatfield Dean & Co. [read post]
10 May 2019, 11:37 am
Background GDG Mortgage, Inc., borrowed $250,000 from Wachovia Bank. [read post]
15 Jan 2019, 7:43 am
Previous employment includes Wachovia Securities, LLC from January 2001 to October 2003, Prudential Securities Incorporated from April 1993 to January 2001, Lehman Brothers Inc. from August 1985 to April 1993 and McLaughlin, Piven, Vogel Inc. from January 1985 to August 1985. [read post]
15 Jan 2019, 7:19 am
Previous employment included Wells Fargo Advisors, LLC from Jan 2008 to November 2011, Wachovia Securities, LLC from January 2008 to May 2009 and A. [read post]
3 Dec 2018, 6:45 pm
Mark Tudor has also worked for the following firms: Morgan Keegan & Company, Inc., Winter Park, FL — March 13, 2009 until February 13, 2013 Wachovia Securities, LLC, Orlando, FL — October 1, 2000 until March 17, 2009 First Union Brokerage Services, Inc., Charlotte, NC — December 19, 1997 until October 1, 2000 Chatfield Dean & CO., Inc, Greenwood Village, CO — January 17, 1997 until October 20, 1997 Mark Tudor has 5… [read post]
9 Nov 2018, 6:29 am
Joseph Roop is Currently Registered with Kalos Capital, Inc. in Belmont, NC, and Has Worked for 5 Other Firms in His 22 Years in the Securities Industry Joseph Roop is currently registered with Kalos Capital, Inc. in Belmont, NC, and has worked for 5 other firms during his 22 years in the securities industry, FINRA notes. [read post]
