Jonathan Way (CRD# 1126849) was a previously registered broker at Wedbush Securities Inc., in Napa, CA. Broker’s Background He entered the securities industry in 1983 and previously worked for Wedbush Securities, Inc.; Ryan, Beck & Co., LLC; Gruntal & Co LLC; Moors & Cabot, Inc.; Dakin Securities Corporation; Rodman & Renshaw Inc.; Smith Barney Inc.; […]

John A. Dougherty (CRD#: 3018615) was a previously registered broker and investment advisor at LPL Financial LLC, in Bluebell, PA. Broker’s Background He entered the securities industry in 1998 and previously worked for LPL Financial LLC; Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith Incorporated; New England Securities; LPL Financial Corporation; Wachovia […]

Michaela Rauscher (CRD#: 5399032) is a registered Broker and Investment Adviser at Western International Securities, Inc., in Westlake Village, CA. Broker’s Background She entered the securities industry in 2007 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct According to publicly available records released by the Financial […]

Edward Rosenblatt (CRD#: 2658712) is a Registered Broker and Investment Advisor at Cetera Advisor Networks LLC. Broker’s Background Edward Rosenblatt entered the securities industry in 1997 and has worked for Cetera Advisor Networks LLC and Cetera Investment Advisers LLC since then. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available […]

Jeffrey Gitterman (CRD#: 1910332) is a registered broker at Vanderbilt Securities, LLC, as well as a registered investment advisor at Gitterman Wealth Management, LLC, in Edison, NJ. Broker’s Background Jeffrey Gitterman entered the securities industry in 1990 and previously worked for Triad Advisors Inc.; ING Financial Advisers, LLC; Aetna Financial Services, Inc.; AXA Advisors, LLC; […]

Nicholas Stovall (CRD#: 5581487) is a previously registered broker at Gradient Securities, LLC in Arden Hills, MN. Broker’s Background He entered the securities industry in 2008 and previously worked for Gradient Securities, LLC; West America Securities Corporation (Expelled by FINRA in 2013); and Edward Jones. Current and Past Allegations of Conduct Leading to Investment Loss […]

Jason J. Walsh (CRD#: 5758243) is a registered Broker at PHX Financial, Inc., in Hauppauge, NY. Broker’s Background He entered the securities industry in 2010 and previously worked for Network 1 Financial Securities, Inc.; Joseph Gunnar & Co., LLC; National Securities Corporation; Obsidian Financial Group, LLC; John Thomas Financial; and First Midwest Securities, Inc. 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 […]

Bryan Lubitz (CRD#: 4381244) is a registered Broker at Equitable Advisors, LLC in Woodbury, NY. Broker’s Background He entered the securities industry in 2001 and previously worked for Aegis Capital Corp.; Newbridge Securities Corp.; and Trident Partners, Ltd. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]