Search for: "Summit Brokerage Services"
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8 Feb 2018, 8:04 am
In 2016 he made the move to Summit Brokerage Services in Dallas, Texas where he was registered until he was discharged in March 2017 for unauthorized exercise of discretion. [read post]
18 Jan 2016, 2:05 pm
The White Law Group continues to investigate the liability that brokerage firms may have for improperly recommending MLP investments (and, in particular) oil and gas MLPs. [read post]
16 Nov 2020, 7:20 am
The five firms who were charged, American Portfolios Financial Services/American Portfolios Advisors Inc., Benjamin F. [read post]
9 Nov 2017, 2:45 pm
From July 2013 until July 2015 Freeze was registered with Summit Brokerage Services, Inc. [read post]
3 Nov 2016, 7:20 am
Cetera Advisors, First Allied, Summit Brokerage and VSR will collectively pay customers at least $4.5 million and Voya was ordered to pay its customers at close to $1.8 million. [read post]
11 Mar 2014, 5:52 am
From March 2, 2012 through April 3, 2013, Chackman was registered through Summit Brokerage Services, Inc. [read post]
20 Mar 2016, 8:59 am
From December 2015 until March 2016, Yocum was associated with Summit Brokerage Services, Inc. out of the firm’s Lady Lake, Florida office location. [read post]
19 May 2017, 8:52 am
Most recently, Yocum worked with Morgan Stanley from 2009 through 2015 and Summit Brokerage Services, Inc. from December 2015 to March 2016. [read post]
7 Mar 2018, 9:34 am
Christine Alexandria Murphy was previously registered with Noble International Investments in Boca Raton, Florida from April 1993 until March 1997, VFinance Investments, DeWaay Financial Network, CBG, Summit Brokerage Services, Olympus Securities, Plan Professionals, Tontine Investment Group, Coastal Equities, Northeastern Financial Group, Avior Capital, NCG Securities, I-Bankers Securities, Noble Capital Markets in Boca Raton from May 2016 until August 2017 and Thornhill… [read post]
16 Jun 2017, 5:55 am
Thereafter, from May 2013 until March 2016, Hoffman was associated with Summit Brokerage Services, Inc. out of the firm’s Brunswick, Georgia office location. [read post]
9 Jul 2014, 7:53 am
Hicks, 42, Little Rock, Arkansas, were loan officers at mortgage brokerage companies. [read post]
4 Apr 2022, 7:43 am
According to his FINRA BrokerCheck report, Velten is not currently registered as a broker, but was reportedly affiliated with the following firms during his career in the securities industry: 01/27/2020 – 04/28/2020, AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363), New Port Richey, FL, 07/27/2018 – 01/27/2020, INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717), NEW PORT RICHEY, FL 08/18/2006 – 08/07/2018, SUMMIT… [read post]
27 Mar 2018, 9:22 am
Werbel was previously registered with Cigna Financial Advisors, FSC Securities Corp, LPL Financial, Summit Brokerage Services, and Concorde Investment Services in Chagrin Falls, Ohio from April 2015 until January 2016. [read post]
31 Mar 2020, 6:02 am
Morgan Securities LLC Matthew Siliato Wynston Hill Capital, LLC Spartan Capital Securities, LLC Steven Thrush Summit Brokerage Services, Inc. [read post]
25 Sep 2022, 10:51 am
From April 2003 through July 2010, Nowak was registered with Summit Brokerage Services, Inc. [read post]
17 Oct 2019, 10:28 am
From September 2014 until September 2019 Holland was associated with Summit Brokerage Services, Inc. [read post]
29 Apr 2019, 7:48 am
Summit Brokerage Services, Inc. [read post]
12 Oct 2015, 7:01 am
Since August 2006, Velten has been a registered representative of Summit Brokerage Services, Inc. out of the firm’s New Port Richey, Florida office location. [read post]
3 Oct 2015, 5:44 am
Since 2008 Jethmal has been registered with Westrock Advisors, Inc. and Summit Brokerage Services, Inc. [read post]
16 Jul 2023, 7:48 pm
(CRD#:23769), SCOTTSDALE, AZ, B, 09/01/2006 – 03/23/2009, SUMMIT BROKERAGE SERVICES, INC. [read post]
