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Broker’s Background   Brady Thomas Lipp (CRD #: 1359835) is registered with NI Advisors. He is located in Milpitas, CA. Lipp’s past employers include NI Advisors, Great Point Capital LLC, David A. Noyes & Company, ALPS Distributors, Inc., Taglich Brothers, Inc., Quasar Distributors, LLC, Jesup & Lamont Securities Corp, Credit Suisse Asset Management Securities, Inc., […]

Broker’s Background   Brian Eric Cantel (CRD #: 1743229) is registered with Berthel, Fischer & Company Financial Services, Inc. He is located in Flowery Branch, GA. Cantel’s past employers include Berthel, Fischer & Company Financial Services, Inc., BFC Planning, Inc., ING Financial Partners, Inc., Locust Street Securities, Inc. and Fidelity Equity Services Corporation.     […]

  Broker’s Background   Kent Eric Engelke (CRD #: 1421164) is registered with Capital Securities Management, Inc. He is located in Glen Allen, VA. Engelke’s past employers include Capital Securities Management, Inc., Davenport & Company LLC, Anderson & Strudwick, Incorporated, A&S Capital Advisors, Inc., Sovran Investment Corporation, Dominick & Dominick, Incorporated, First Investors Corporation.   […]

Broker’s Background   Mahmoud Elawadi (CRD #: 5319152) was previously registered with Wells Fargo Clearing Services, LLC.  He is based in Orlando, FL. Mahmoud Elawadi has been previously employed by Merrill Lynch, Morgan Stanley, and Morgan Keegan & Co.   Current Allegations of Conduct Leading to Investment Loss   According to publicly available records released […]

Indexed universal life (IUL) insurance is a type of permanent life insurance that ties a portion of its cash value growth to the performance of a stock market index, such as the S&P 500. Unlike traditional whole life insurance, IUL policies offer flexible premiums and the potential for higher returns, at least on paper. Consumers […]

Broker’s Background   Marat Likhtenstein (CRD #: 2470480) was previously registered with Osaic Wealth, Inc. Okuma’s s past employers include Osaic Welath, Inc., Signator Investors, Inc., Park Avenue Securities, LLC, Guardian Investor Servies Corporation, John Hancock Distributors, Inc. and John Hancock Mutual Life Insurance Company.   Current and Past Allegations of Conduct Leading to Investment […]

Broker’s Background   Ejiro Ode Okuma (CRD #: 5774832) was previously registered with Equitable Advisors, LLC. Okuma’s s past employers include Equitable Advisors, LLC and Edward Jones.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2025, […]

Broker’s Background   Jonathon Mark Webster (CRD #: 1286778) was a previously registered broker with FINRA. He’s been previously employed with Aegis Capital Corp., Stifel, Nicolaus & Company, Incorporated, Wells Fargo Clearing Services, LLC, Citigroup Global Markets Inc., Morgan Stanley DW Inc., PaineWebber Incorporated, Shearson Lehman Hutton Inc., E.F. Hutton & Company Inc., Bateman Eichler, […]

Broker’s Background   Lyhen Fiallo (CRD #: 4579582) was registered with PFS Investments Inc. He is located in Hialeah, FL. Current and Past Allegations of Conduct Leading to Investment Loss  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2026, she was sanctioned and barred by FINRA after refusing […]

Broker’s Background   Carmen Dean Morrone (CRD #: 1898874) is registered with Realta Equities, Inc. Camren Morrone is located in Wantagh, NY. Morrone’s past employers include B. Riley Wealth Management, National Securities Corporation, Muriel Siebert & Co., Inc., Investacorp, Inc., Prime Capital Services, Inc., Oppenheimer & Co., Inc., NYLife Securities LLC, Ameriprise Advisor Services, Inc., […]