William Wade Godfrey (CRD#:2447660) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1994 and previously worked for John Hancock Mutual Life Insurance Company; Fahnestock & Co., Inc.; Ameritas Investment Corp.; American General Financial Advisors, Inc.; Public Employees Equities Services Company; Ameritas Investment Corp.; Equitable Advisors, LLC; Thrivent […]

Jay Eng (CRD#: 2241817) is a registered Broker and Investment Adviser at Independent Financial Group, LLC in Torrance, CA. Broker’s Background He entered the securities industry in 1992 and previously worked for Kinecta Wealth Management; LPL Financial, LLC; WM Financial Services, Inc.; Electronic Trading Group, LLC; Pule Trading, Inc.; Banc of America Securities, LLC; J.P. […]

Ann Werts (CRD#: 5057784) is a dually registered Investment Advisor and Broker at Madison Avenue Securities, LLC in Lakewood, CO. Broker’s Background She entered the securities industry in 2006 and previously worked for CL Wealth Management, LLC; Cabot Lodge Securities, LLC; Allied Beacon Partners, Inc.; Titan Securities; Community Bankers Securities, LLC; Securities America Advisors, Inc.; […]

Financial Services Broker Andrew Durham Suspended by FINRA After Allegations of Forgery Andrew Durham (CRD#: 6541868) is a previously registered Broker. Broker’s Background He entered the securities industry in 2017 and previously worked for Allstate Financial Services, LLC. Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry […]

Ronald Whittingham (CRD#: 4175525) is a dually registered Broker and Investment Advisor at Cetera Advisors, LLC in Orland Park, IL. Broker’s Background He entered the securities industry in 2000 and previously worked for Opus Wealth Management Group; LPL Financial, LLC; FSC Securities Corporation; Advice Network Consultants, LLC; LPL Financial, LLC; and LaSalle St. Securities, LLC. […]

Ronal Daley (CRD#: 4682165) is a previously registered Broker. He entered the securities industry in 2009 and previously worked for W&S Brokerage Services, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2021, FINRA sanctioned Ronald Daley, barring him indefinitely from all capacities, beginning September 10, 2021. The […]

Variable annuities are essentially mutual funds packaged and marketed as insurance products. While they may be appropriate for some investors, the potential benefits may not outweigh the risks. These investments are popular because policyholders don’t typically pay taxes on their earnings right away, their beneficiaries receive a death benefit, and withdrawals can stand in for […]

Timothy Pandekakes (CRD # 4890164) is currently registered at American Portfolios Financial Services, Inc. in Yonkers, NY. Timothy Pandekakes has been in the securities industry since 2005, Timothy Pandekakes previously worked at Cadaret, Grant & Co., in Bronxville, NY from 2005 to 2019. According to publicly available records released by the Financial Industry Regulatory Authority […]

Brett Hartvigson (CRD # 2263087) is a Financial Advisor at Independent Financial Group, LLC in San Diego, CA. Brett Hartvigson has been in the securities industry since 1992 and previously worked at LPL Financial Corporation, Thrivent Investment Management Inc., and Lutheran Brotherhood Securities Corp. According to publicly available records released by the Financial Industry Regulatory […]

William Humbarger (CRD #4294223) is a Financial Advisor at NY Life Securities in Indianaola, Mississippi. William Humbarger has been in the securities industry since 2000 and has been registered with NY Life the entirety of that time. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), William Humbarger has been the […]