Rene Javier Castro (CRD#:2559410) is a registered broker at Great Point Capital LLC, and a registered investment advisor at Retirement Wealth Management.   Broker’s Background He entered the securities industry in 1994. He previously worked for Center Street Advisors, Inc.; VFG Advisors, Inc; Concorde Asset Management; United Financial Solutions, Inc.; Centaurus Financial, Inc.; Brewer Financial […]

Robert Emett Marquez (CRD#: 22662269) is a previously registered broker.   Broker’s Background He entered the securities industry in 1992. He previously worked for Investment Network; Edi Financial, Inc (FINRA expelled the firm in 2017); Colorado Financial Service Corporation; Brookstone Securities (FINRA expelled the firm in 2012); Empire Financial Group (FINRA expelled the firm in […]

Daniel George McPherson (CRD#: 4964802) was a previously registered broker and is now a registered investment advisor at CG Advisory Services in Idaho Falls, ID.   Broker’s Background He entered the securities industry in 2005 and previously worked for Cetera Advisors LLC; Pacific West Financial Consultants, Inc.; Pacific West Securities, Inc.; SPC; Sammons Securities Company, […]

Kurt Cambier (CRD#: 1392482) is a registered broker and investment advisor at Cambridge Investment Research, Inc. in Littleton, CO. Broker’s Background He entered the securities industry in 1986 and previously worked for Multi-Financial Securities Corporation; MML Investors Services, Inc.; G.R. Phelps & Co., Inc.; Amev Investors, Inc.; Pruco Securities Corporation. Current and Past Allegations of […]

Todd Lesk (CRD#: 2788300) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1997 and previously worked for Cambridge Investment Research, Inc.; LPL Financial LLC; Invest Financial Corporation; Middlebury Securities, LLC; Sterne Agree Financial Services, Inc.; Atlantic Coast Securities Corporation; Livingston Monroe Capital Group, Inc.; G.T. Jeffers & […]

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

Ian A Geeves (CRD#: 5328479) is a registered broker and investment advisor at Vanderbilt Securities, LLC in Carlsbad, CA. Broker’s Background He entered the securities industry in 2009 and previously worked for LPL Financial LLC; U.S. Bancorp Investments, Inc.; Chase Investment Services Corp.; and Bancwest Investment Services, Inc. Current Allegations of Conduct Leading to Investment […]

Ronald Terrence Molo (CRD#: 4371241) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2001, and has previously worked for Edward Jones in Joliet, IL. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2023, the Securities and Exchange […]

Haiguang Yin (CRD#: 3249933), known as “John Yin” was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1999 and has previously worked for a number of different brokerage firms.  Most recently, from 2013-2023, John Yin worked at Cetera Investment Services, LLC and also offered services through East West […]

In March 2019, the Wolper Law Firm, P.A., a national securities litigation law firm, filed an arbitration claim Regulus Advisors, LLC, Vanderbilt Securities, LLC and Kurt Berry before the Financial Industry Regulatory Authority (FINRA).  The arbitration relates to alleged sales practice misconduct allegedly committed by Kurt Berry when he recommended that retail securities clients invest […]