Last Updated: October 2025 — Rocklin, CA Here’s what you need to know about Rocklin, CA stockbroker Jason L. Layland: Name: Jason Lee Layland Current Employer: Cambridge Investment Research, Inc. (FINRA broker)…
read moreLast Updated: October 2025 — Paramus, NJ Here’s what you need to know about Paramus, NJ stockbroker Ernie Kloock: Name: Ernie Walter Kloock. Current Employer: UBS Financial Services Inc., registered since 09/26/2014.…
read moreLast Updated: October 2025 — San Mateo, CA Here’s what you need to know about San Mateo, CA stockbroker Thomas G. Justice: Name: Thomas Gary Justice Current Employer: Emerson Equity LLC (CRD…
read moreLast Updated: October 2025 (Houston, Texas) Gihan Fernando Investigation Summary Here’s what you need to know about Houston, Texas, stockbroker Gihan Anil Fernando: Name: Mr. Gihan Anil Fernando Current Employer:…
read moreLast Updated: October 2025 — Denver, CO Here’s what you need to know about Denver, CO stockbroker Jerry Hsu: Name: Chihyu J. (“Jerry”) Hsu Current Employer: Guardian Life Insurance Company — Agent…
read moreLast Updated: October 2025 — Hicksville, NY Here’s what you need to know about Hicksville, NY stockbroker Michael J. Halkitis: Name: Michael John Halkitis Current Employer: The Rockwell Financial Group, Inc., 240…
read moreLast Updated: October 2025 — Red Bank, NJ Here’s what you need to know about Red Bank, NJ stockbroker Shaun Grimaldi: Name: Shaun Joseph Grimaldi Current Employer: Garden State Securities, Inc. (CRD#…
read moreLast Updated: October 2025 — Louisville, KY Here’s what you need to know about Louisville, KY stockbroker Kevin Duffy: Name: Kevin F. Duffy Current Employer: Not currently registered with a FINRA-member broker-dealer…
read moreLast Updated: October 2025 — Miami, FL Here’s what you need to know about Miami, FL stockbroker Marcio Da Rocha: Name: Marcio Moraes Marciano Da Rocha Current Employer: Insigneo Advisory Services LLC…
read moreLast Updated: October 2025 — Austin, TX Here’s what you need to know about Austin, TX investment advisor Ronald Dewayne Smith Jr.: Name: Ronald Dewayne Smith Jr. Current Employer: Investment Adviser Representative…
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