Surage Roshan Perera (CRD#: 4716321) is a previously registered Broker. Broker’s Background He entered the securities industry in 2003 and previously worked for Aegis Capital Corp.; Maxim Group, LLC; Stockkings Capital, LLC; Caldwell International Securities; Global Arena Capital Corp.; Prestige Financial Center, Inc.; Sloan Securities Corp.; Aura Financial Services, Inc.; Andrew Garrett, Inc.; LH Ross […]

Duane Pellman (CRD#: 2426979) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1999 and previously worked for Intercarolina Financial Services, Inc.; Principal Securities, Inc.; WR Rice Financial Services, Inc.; GWN Securities, Inc.; Lincoln Investment; Waddell & Reed, Inc.; and Dean Witter Reynolds, Inc. Current And […]

Robert T. Li (CRD#: 4068255) is a dually registered Broker and Investment Adviser at LPL Financial, LLC, in Naperville, IL. Broker’s Background He entered the securities industry in 1999 and previously worked for Wachovia Securities, LLC; and Prudential Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records […]

Loren Justin Morrison (CRD#: 4578161) is a dually registered Broker and Investment Adviser at Stifel, Nicolaus & Co., Inc. in Southfield, MI. Broker’s Background He entered the securities industry in 2002 and previously worked for LPL Financial, LLC; Echotrade, LLC; UBS Financial Services, Inc.; and Morgan Stanley DW, Inc. Current And Past Allegations Of Conduct […]

Daniel Beech (CRD#: 6169844) is a dually registered Broker and Investment Adviser at Innovation Partners, LLC in Charlotte, NC. Broker’s Background He entered the securities industry in 2013 and previously worked for Western International Securities, Inc.; Independent Financial Group, LLC; and Royal Alliance Associates, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Larry Burton (CRD#: 4297802) is a registered Broker and an Investment Adviser at Western International Securities, Inc., in Westlake Village, CA. Broker’s Background He entered the securities industry in 2000 and previously worked for Citigroup Global Markets, Inc.; Citicorp Investment Services; and Merrill Lynch Pierce Fenner & Smith, Inc. Current And Past Allegations Of Conduct […]

John Starke, Sr. (CRD#: 3154774) is a registered Broker at Centaurus Financial, Inc. in Mechanicsville, VA. Broker’s Background He entered the securities industry in 1999 and previously worked for Financial West Group; Cabot Lodge Securities, LLC; Allied Beacon Partners, Inc.; American Beacon Partners, Inc.; Newbridge Securities Corporation; First Montauk Securities Corp.; Intersecurities, Inc.; and NYLife […]

Patrick Durst (CRD#: 6328382) is a registered Broker and Investment Adviser at Lifemark Securities Corp. in Centennial, OH. Broker’s Background He entered the securities industry in 2014 and previously worked for Jackson National Life Distributors, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Financial Advisor Ariel Rivero Discloses Customer Complaint Ariel Rivero (CRD#: 4236679) is a dually registered Broker and Investment Adviser at Insigneo Securities, LLC in Miami, FL. Broker’s Background He entered the securities industry in 2000 and previously worked for Leucadia Asset Management, LLC; Jefferies, LLC; Oppenheimer & Co., Inc.; Morgan Stanley; and Merrill Lynch, Pierce, […]

Eileen Cure (CRD#: 2224269) is a previously registered Broker and an Investment Adviser. Broker’s Background She entered the securities industry in 1992 and previously worked for LPL Financial, LLC; HD Vest Investment Services; Investment Management & Research, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment […]