Rebecca Ng-Tsang (CRD#: 5578435) is a previously registered broker.   Broker’s Background   She entered the securities industry in 2008 and previously worked for Cetera Investment Services LLC; LPL Financial LLC; Uvest Financial Services Group, Inc; and Primevest Financial Services, Inc.     Current and Past Allegations of Conduct Leading to Investment Loss   According […]

Geoffrey Wolterstorff (CRD#: 2711805) is a registered Broker at Lifemark Securities, Inc., in Eau Claire, WI. Broker’s Background He entered the securities industry in 1996 and previously worked for Foresters Equity Service, Inc.; Packerland Brokerage Services, Inc.; Country Capital Management Company; Thrivent Investment Management, Inc.; Ameriprise Financial Services, Inc., and IDS Life Insurance Company. Current […]

Ted Boutis (CRD#: 2951760) is a registered Broker and Investment Adviser at Ameriprise Financial Services, LLC in Mineola, NY. Broker’s Background He entered the securities industry in 1997 and previously worked for IDS Life Insurance Company. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Chuck A. Roberts (CRD#: 2064602) is a registered Broker and Investment adviser at Stifel, Nicolaus & Co., Inc. in New York, NY. Broker’s Background He entered the securities industry in 1990 and previously worked for Morgan Stanley; Citigroup Global Markets, Inc.; Oppenheimer & Co., Inc.; CIBC World Markets Corp.; M.J. Whitman, Inc.; Painewebber, Inc.; and […]

Scott Kemps (CRD#: 1849069) is a registered Broker and Investment Adviser at Great Point Capital, LLC in Melbourne, FL. Broker’s Background He entered the securities industry in 1988 and previously worked for Meyers Associates, LP; International Assets Advisory, LLC; Ariston Wealth Management, LP; Anderson & Strudwick, Inc.; Jesup & Lamont Securities Corp.; Empire Investment Advisors, […]

Antoine Souma (CRD#: 4210987) is a registered Investment Adviser and a previously registered Broker. Broker’s Background He entered the securities industry in 2000 and previously worked for Insigneo Securities, LLC; Morgan Stanley; J.P. Morgan Securities, LLC; Deutsche Bank Securities, Inc.; and UBS Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Lee Diedrich (CRD#: 2636095) was dually registered as a Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1995 and previously worked for Pruco Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2022, […]

Amanda Berry (CRD#: 5651609) is a previously registered Broker. Broker’s Background She entered the securities industry in 2010 and previously worked for MML Investors Services, LLC; and NYLife Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April […]

Michael Lee (CRD#: 715932) is a dually registered Broker and Investment Advisor at Essex Securities, LLC in Jersey City, NJ. Broker’s Background He entered the securities industry in 1980 and previously worked for ES Advisory Group; SB Advisory, LLC; CL Wealth Management, LLC; Cabot Lodge Securities, LLC; IFS Securities; Financial Advisory Network; Inc.; Securities America, […]

Shane Wilhelm (CRD#: 4803933) is a dually registered Broker and Financial Advisor at Fortune Financial Services, Inc. in Moneta, VA. Broker’s Background He entered the securities industry in 2004 and previously worked for Trust Advisory Services, Inc.; Trust Investment Services, Inc.; Suntrust Investment Services, Inc.; BB&T Securities, LLC; Scott & Stringfellow, LLC; Merrill Lynch, Pierce, […]