Matthew Kenneth Wilkes (CRD#: 5409004) is a registered investment advisor at Greensview Wealth Management in Franklin, TN. Broker’s Background He entered the securities industry in 2007. He previously worked with Chase Investment Services Corp.; Natcity Investment, Inc.; PNC Investments; Wells Fargo Advisors, LLC; FSIC; Raymond James Financial Services Advisors, Inc; United Advisors Services, LLC; Trustfirst; […]

Juan Manuel Rascon (CRD#:5631144) is a registered broker and investment adviser at Cetera Investment Services, LLC., in Houston, TX. Broker’s Background He entered the securities industry in 2009 and previously worked with Edward Jones; Chase Investment Services Corp.; J.P Morgan Securities LLC; BBVA Compass Investment Solutions, Inc.; and BBVA Securities, Inc. Current and Past Allegations […]

Glennon James Cole (CRD#: 1999588) is a previously registered broker. Broker’s Background He entered the securities industry in 1989. He previously worked with Edward Jones; UBS PaineWebber, Inc.; Summit Brokerage Services, Inc.; Huntleigh Securities Corporation; First Brokerage America, LLC; and most recently Moloney Securities Co., Inc. Current and Past Allegations of Conduct Leading to Investment […]

Marc Jay Frankel (CRD#: 2671700) is a previously registered investment advisor and broker.   Broker’s Background He entered the securities industry in 2010 and previously worked for Partnervest Advisory Services, LLC.   Allegations of Misconduct According to publicly available records released by the Securities Exchange and Exchange Commission (SEC), in January of 2024, the SEC […]

Jesus Rodriguez (CRD#:4888685) is a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2005, and previously worked with Merrill Lynch Pierce Fenner & Smith Inc.; Citigroup Global Markets Inc.; and Morgan Stanley.   Allegations of Misconduct According to publicly available records released by The Securities and Exchange Commission […]

Eric Coombs (CRD#: 2743447) is a registered broker with Nationwide Investment Services Corporation in Columbus, OH.   Broker’s Background He entered the securities industry in 2006 and previously worked with Nationwide Investment Advisors, LLC and The Huntington Investment Company and Financial advisors.   Allegations of Misconduct According to publicly available records released by the Financial […]

Angelo Frank Anello (CRD#: 2835091) is a registered broker and investment advisor at LPL Financial LLC in Needham, MA 02494   Broker’s Background He entered the securities industry in 1997 and previously worked with Salomon Smith Barney Inc.; Dreyfus Service Corporation; Quick & Reilly, Inc.; Banc of America Investment Services, Inc.; and Citigroup Global Markets […]

David Bruce McMillen (CRD#: 1198070) is a registered broker and investment advisor at Capital Securities, L.P in Boulder, CO.   Broker’s Background   He entered the securities industry in 1983, and previously worked with First Investors Corporation; Interfinancial Securities, Inc.; The Equitable Life Assurance Society of the United States; Equico Securities, Inc.; The Lincoln National […]

Thomas Burgess Hamlin (CRD#: 2208505) is a registered broker and investment advisor with Somerset Securities, Inc., in Portland, OR.   Broker’s Background He entered the securities industry in 1992 and previously worked with Advantage Capital Corporation; Spelman & Co., Inc.; Prudential Securities Incorporated; and Raymond James Financial Services.   Current and Past Allegations Leading to […]

Brian Campion Stern (CRD#: 3137402) is a registered broker and investment advisor with OSAIC Wealth, Inc. in Rochester, MN.   Broker’s Background He entered the securities industry in 1998 and has previously worked with Transamerica Financial Advisors, Inc.; and Signator Investors, Inc.   Allegations of Misconduct According to publicly available records released by the Financial […]