Emily Jean Smith (CRD#: 6287728) was a previously registered broker and investment advisor.   Broker’s Background She entered the securities industry in 2014 and previously worked with Morgan Stanley, and Raymond James Financial Services, Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March of […]

John Brian Lee (CRD#: 2950037) is a registered broker and financial advisor at LPL Financial LLC, in Fort Worth, TX. Broker’s Background: John Lee entered the securities industry in 1999. He previous worked for Cambridge Investment Research Advisors, Inc; MML Investors Services, LLC; Northwestern Mutual Investment Services, LLC; Northwestern  Mutual Wealth Management Company; Nationwide Securities; […]

Bradley Wastler (CRD#: 868378) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1979 and previously worked for LPL Financial, LLC; Invest Financial Corporation; PFIC Securities Corporation; Fiserv Investor Services, Inc.; Tradestar Investments, Inc.; and Edward D. Jones & Co., L.P. Current And Past Allegations Of […]

David Test (CRD#: 2341570) is a dually registered Broker and Investment Adviser at Avantax Investment Services, Inc. in Frisco, TX. Broker’s Background He entered the securities industry in 1993 and previously worked for Northwestern Mutual Investment Services, LLC; MML Investors Services, Inc.; Hartford Equity Sales Company, Inc.; and The Great-West Life Assurance Company. Current And […]

Anthony Megaro (CRD#: 1977837) is a dually registered Broker and Investment Advisor at Park Avenue Securities, LLC in Parsippany, NJ. Broker’s Background He entered the securities industry in 1989 and previously worked for Guardian Investor Services Corporation, and Chubb Securities Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available […]

Denise Sobczak (CRD#: 3078128) is a dually registered Broker and Investment Advisor at Kestra Investment Services, LLC in Fairfield, NJ. Broker’s Background She entered the securities industry in 1998 and previously worked for Raymond James Financial Services Advisors, Inc.; Raymond James Financial Services, Inc.; Citigroup Global Markets, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, […]

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 […]

FINRA Suspends Financial Advisor Kevin Klickna Kevin Klickna (CRD#: 5640324) is a previously registered Broker and an Investment Adviser. Broker’s Background He entered the securities industry in 2009 and previously worked for Equitable Advisors, LLC and AXA Advisors, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Alexis Cooke (CRD#: 5598604) is a previously registered Broker who worked at Pruco Securities, LLC in Brooklyn, NY. Alexis Cooke entered the securities industry in 2009 and previously worked for NYLife Securities, LLC; Wells Fargo Advisors, LLC; J.P. Morgan Securities, LLC; and Chase Investment Services Corp. According to publicly available records released by the Financial […]

James Couture (CRD#: 4406284) was an Investment Advisor at LPL Financial, LLC in Worcester, MA. He entered the securities industry in 2001 and previously worked for Lincoln Financial Securities Corporation; New England Securities; and Morgan Stanley DW, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2020, FINRA […]