Search for: "Brecek & Young Advisors"
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17 Sep 2007, 11:51 pm
A number of Legacy executives and Brecek & Young Advisors Inc., which is also a broker-dealer, also acquired advisers. [read post]
3 Jan 2020, 1:54 pm
He previously worked for Brecek & Young Advisors (CRD# 40395), Legend Equities Corporation (CRD# 30999), Nationwide Securities (CRD# 11173), and others. [read post]
9 Dec 2010, 11:29 am
Among those on the DBSI list: Brecek & Young Advisors Inc., which merged into Securities America Corp. in 2009; KMS Financial Services; J.P. [read post]
21 Aug 2018, 5:14 am
According to FINRA Disciplinary actions for July 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alan Demond Garrett Fidelity Brokerage Services LLC Shawn Arthur Goding Allstate Financial Services, LLC Shawn Goding Insurance Ramon Arturo Herrera… [read post]
1 Sep 2011, 4:15 pm
Brecek & Young Advisors, Inc., in Folsom, CA, was censured and fined $125,000 in connection with a failure maintain adequate supervisory procedures and a failure to supervise its representatives in complying with applicable securities laws with respect to variable annuities. [read post]
30 Aug 2013, 10:12 am
He worked with Securties America from January of 2009 through Febuary 2010, and Brecek & Young Advisors from Febuary 2005 through January 2009. [read post]
4 Jun 2018, 6:26 am
IDS Life Insurance Company Christopher Lee Hibbard Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, NA Shawn I Houslin Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, NA Michael Dennis Jackson Securities America, Inc Brecek & Young Advisors, Inc. [read post]
10 Jan 2019, 7:58 am
., Auburn, California— January 23, 2009 – September 1, 2011 • Brecek & Young Advisors, Inc., Auburn, California— October 29, 2007 – January 23, 2009 • Multi-Financial Securities Corporation, Nevada City, California— July 18, 2007 – November 7, 2007 • Legacy Financial Services, Inc., Nevada City, California— July 17, 2001 – July 18, 2007 • National Planning Corp., Los Angeles,… [read post]
30 Sep 2013, 1:56 pm
Upon leaving AXA Advisors, Dearman joined Brecek & Young Advisors, Inc. until January 2009. [read post]
31 Dec 2010, 8:41 pm
Kelvin Shaw, previously with Brecek & Young Advisors, Inc. in Temecula, CA, was barred from association with any FINRA member in any capacity in connection with his recommendation to certain customers to invest in a non-FINRA regulated investment group that operated as a commodity pool, which was exposed as a Ponzi scheme. [read post]
16 Dec 2010, 8:46 am
$410,000 Brecek & Young Advisors Inc. [read post]
4 Apr 2011, 9:02 am
$410,000 Brecek & Young Advisors Inc. [read post]
