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Last Updated: April 2024 (Campbell, CA) Jeff Conforti Investigation Summary Here’s what you need to know about Campbell, CA, stockbroker Jeff Conforti Name: Mr. Jeff Alan Conforti Current Employer: Securities…
read moreKimberly Nuessmann Investigation February 2024 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc. discloses a regulatory event on her FINRA record. The…
read moreLast Updated: January 2024 (Clearwater, FL) Alan “Roof” Douglass Investigation Summary Here’s what you need to know about Clearwater, FL, stockbroker Roof Douglass: Name: Mr. Alan Duane Douglass Current Employer:…
read moreLast Updated: October 2023 (Plano, Texas) John Donovan Investigation Summary Here’s what you need to know about Plano, TX, stockbroker John Donovan: Name: Mr. John Francis Donovan Current Employer: Securities…
read more“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…
read moreCurt Wilson Investigation July 2023- Tulsa, OK The FINRA records of Curtis “Curt” Wilson, a currently unregistered broker who was previously employed with Securities America , disclose settlement of customer disputes. The…
read moreDale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger, a broker who last worked for DMK Advisor Group and prior to that Securities America, …
read moreJuly 2021- Independence, OH According to publicly available records David Zuber (CRD#3239595), a former stockbroker who last worked for Securities America, Inc., has been permanently barred from FINRA. The Financial…
read moreApril 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) , a former stockbroker who last worked for Securities America, Inc., was recently suspended indefinitely. The Financial Industry Regulatory…
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