Last Updated: February 2026 — Lake Mary, FL Here’s what you need to know about Lake Mary, Florida stockbroker Ryan Andrew Arnold: Name: Ryan Andrew Arnold Current Employer: LPL Financial LLC Other Business…
read moreLast Updated: February 2026 — Irvine, California Here’s what you need to know about Irvine, CA stockbroker Nick Olivas: Name: Nicholas David Olivas Current Employer: Prospera Financial Services, Inc. (CRD #10740), Dallas, TX…
read moreLast Updated: February 2026 LPL Financial Investigation Summary Here’s what you need to know about Fort Mill, SC, headquartered brokerage firm LPL Financial: Name: LPL Financial LLC Function: Stock Brokerage…
read moreLast Updated: February 2026 — Columbia, TN Here’s what you need to know about Columbia, TN stockbroker Jim Davis Jr.: Name: James D. Davis Jr. Alias: Jim Davis Current Employer: IFP Securities,…
read moreLast Updated: January 2026 — Temecula, CA Here’s what you need to know about Temecula, CA stockbroker Ken Finnell: Name: Kenneth Wayne Finnell Current Employer: Not currently registered as a FINRA…
read moreLast Updated: January 2026 — Fargo, North Dakota Here’s what you need to know about Fargo, ND stockbroker Phil Condit: Name: Philip Gordon Condit Current Employer: Condit Wealth Management as registered investment advisor.…
read moreLast Updated: January 2026 — Scottsdale, AZ Here’s what you need to know about Scottsdale, AZ stockbroker Adam Ross Lunceford: Name: Adam Ross Lunceford Current Employer: Not currently registered with FINRA. Prior…
read moreLast Updated: January 2026 — Buford, GA Here’s what you need to know about Buford, GA stockbroker Robert Thatcher Tudor: Name: Robert Thatcher Tudor III Current Employer: Voya Financial Advisors, Inc. Prior Firms:…
read moreLast Updated: January 2026 (El Paso, Texas) Michael Graham Investigation Summary Here’s what you need to know about El Paso, TX, stockbroker Michael Graham: Name: Mr. Michael Graham Current Employer:…
read moreLast Updated: December 2025 — Bristol, Connecticut Here’s what you need to know about former Bristol, CT stockbroker and Connecticut State Representative Chris Ziogas: Name: Mr. Christopher Ziogas Current Employer: Barred from acting…
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