September 2021- Largo, FL According to publicly available records, Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…
read moreUPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…
read moreNew Mexico Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…
read moreAccording to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…
read moreUPDATED September 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…
read moreUPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…
read moreUPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…
read moreAugust 2021- Carnegie, PA According to publicly available records, Ronald V. Pullman a currently unregistered financial advisor who was previously registered with Trustmont Financial Group, discloses 3 prior regulatory events…
read moreAugust 2021- Greenwood Village, CO According to publicly available records, Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…
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