Search for: "Summit Brokerage Services"
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15 Nov 2016, 3:33 pm
Summit Brokerage Services, Inc. [read post]
12 Oct 2018, 12:23 pm
His previous employers include Summit Brokerage Services, Inc. [read post]
20 Apr 2017, 1:49 pm
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker James Vernon Regier (Regier), formerly associated with Summit Brokerage Services, Inc. [read post]
9 Sep 2015, 6:16 am
Turner had 291 reps as of last year end, but has lost more than half of the reps when they joined Summit Brokerage Services, another Cetera firm.According to the CEO of Cetera Financial, since J.P Turner became part of Cetera Financial, J.P. [read post]
3 Aug 2016, 5:25 am
Andrew Todd Yocum, formerly of Morgan Stanley, The Villages, FL and Summit Brokerage Services, Lady Lake, FL has been subject to seventeen customer complaints since May 19th, 2015, according to Broker Check by the Financial Industry Regulatory Authority (FINRA). [read post]
21 May 2020, 7:12 am
According to FINRA Disciplinary actions for February 2020, the following individuals were barred 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 DiLiberto, Jesse Fidelity Brokerage Services Wilmington Capital Securities, LLC Fry, Stephen Woodbury Financial Services,… [read post]
30 Jan 2023, 8:11 am
His previous employers include National Securities Corporation (CRD#:7569), Newbridge Securities Corporation (CRD#:104065), and Summit Brokerage Services, Inc. [read post]
21 Mar 2014, 9:49 am
He previously worked with Summit Brokerage Services from 09/2009 – 08/2010, J.B. [read post]
16 Jan 2014, 8:13 am
PROFESSIONAL ASSISTANCE, LLC, d/b/a SUMMIT TITLE SERVICES, KUZMA SUCCESS REALTY, and P. [read post]
14 Sep 2020, 1:43 pm
His previous employers include Summit Brokerage Services, Inc. [read post]
6 May 2020, 10:41 am
Cetera Financial Group, comprised of Cetera Advisors, Cetera Advisor Networks, First Allied Securities, and Summit Brokerage Services, recently announced that it is halting sales of non-traded real estate investment trusts (REITs) and interval funds, citing the likely inaccuracy of real estate valuations leading up to the COVID-19 pandemic. [read post]
5 Apr 2012, 5:49 pm
More than 50 brokers, practice leaders, clinicians and others from major insurers, insurance brokerage firms and pharmacy benefit management (PBM) organizations attended the summit, which was held at Broadspire’s Sunrise, Fla., medical management headquarters. [read post]
25 Nov 2016, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined eight firms which include Voya Financial Advisors, Kestra Investment Services, FTB Advisors and five broker-dealer subsidiaries of Cetera Financial Group, comprising of Cetera Advisor Networks, Cetera Financial Specialists, First Allied Securities, Summit Brokerage Services and VSR Financial Services.FINRA fined these firms for selling L-share variable annuities that were only suitable for a… [read post]
24 Nov 2020, 10:55 am
(CRD#:124583) of Sarasota, FL, Newbridge Securities Corporation (CRD#:104065) of Boca Raton, FL, and Summit Brokerage Services, Inc. [read post]
13 Oct 2020, 7:59 am
He also previously was a broker for Summit Brokerage Services, LPL Financial (LPLA), Lincoln Financial Advisors, and The Lincoln National Life Insurance Company. [read post]
15 Aug 2014, 10:25 am
He worked in Maryland with LPL Financial from 12/2001 – 03/2012 and with Summit Brokerage Services from 03/2012 – 04/2013. [read post]
29 Jun 2010, 1:47 pm
LLC $11,600,000 - Jesup andamp; Lamont Securities Corp. $100,000 $13,500 Kaiser andamp; Co. $100,000 $160,650 Lighthouse Capital Corp. $250,000 $33,750 Main Street Securities LLC $205,000 $45,450 Matheson Securities LLC $100,000 $37,800 Milkie Ferguson Investments Inc. $4,145,000 $480,350 Morrow Wealth Management $30,000 - National Securities Corp. $3,665,000 $437,250 Newbridge Securities Corp. $25,000 $15,750 NEXT Financial Group Inc. $33,485,000 $3,190,200 Okoboji Financial… [read post]
4 Jan 2011, 7:32 am
$100,000 $13,000 Summit Brokerage Services Inc [read post]
24 Jan 2022, 1:53 pm
Melissa Gilcrease Allstate Financial Services, LLC Jan Haynes Integrity Brokerage Services, Inc. [read post]
4 Apr 2007, 9:13 am
In remarks before a recent IA Week and Investment Adviser Association summit, Thomsen explained how the staff "follows the money" to uncover the variations on age old themes of misconduct. [read post]
