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Displaying 11-20 out of 66,998 results

Daniel J Charlier

Broker

CRD#: 3104464


TRANSAMERICA FINANCIAL ADVISORS, INC

Torrance, CA 90501

CRD#: 16164

Years of Experience: 24

Total Disclosures: 20

Customer Disputes: 6

Regulatory Disclosures: 0

Other Disclosures: 14

Thad Fredrick Proctor

Broker

CRD#: 1063355


NYLIFE SECURITIES LLC

San Diego, CA 92127

CRD#: 5167

Years of Experience: 38

Total Disclosures: 19

Customer Disputes: 19

Regulatory Disclosures: 0

Other Disclosures: 0

Sharon Lynn Pensabene

Broker

CRD#: 2368040


NYLIFE SECURITIES LLC

Lompoc, CA 93436-1420

CRD#: 5167

Years of Experience: 26

Total Disclosures: 19

Customer Disputes: 0

Regulatory Disclosures: 0

Other Disclosures: 19

Scott William Blaney


SECURITIES AMERICA, INC.

Los Angeles, CA 90004

CRD#: 10205

Years of Experience: 15

Total Disclosures: 19

Customer Disputes: 0

Regulatory Disclosures: 0

Other Disclosures: 19

Scott Mitchell Lask


WEDBUSH SECURITIES INC.

Los Angeles, CA 90017

CRD#: 877

Years of Experience: 39

Total Disclosures: 18

Customer Disputes: 2

Regulatory Disclosures: 0

Other Disclosures: 16

Christian Michael Rossi

Broker

CRD#: 2425456


PFS INVESTMENTS INC.

Ventura, CA 93003

CRD#: 10111

Years of Experience: 27

Total Disclosures: 18

Customer Disputes: 0

Regulatory Disclosures: 0

Other Disclosures: 18

Dennis Michael Bavin


PARK AVENUE SECURITIES LLC

San Diego, CA 92121

CRD#: 46173

Years of Experience: 12

Total Disclosures: 18

Customer Disputes: 1

Regulatory Disclosures: 0

Other Disclosures: 17

Cynthia Mary Couyoumjian


INDEPENDENT FINANCIAL GROUP, LLC

Tustin, CA 92780

CRD#: 7717

Years of Experience: 37

Total Disclosures: 17

Customer Disputes: 14

Regulatory Disclosures: 3

Other Disclosures: 0

Michael Conrad Ihrie

Broker

CRD#: 1394615


SUTTER SECURITIES INCORPORATED

Irvine, CA 92618

CRD#: 30770

Years of Experience: 30

Total Disclosures: 17

Customer Disputes: 15

Regulatory Disclosures: 2

Other Disclosures: 0

Karen Degro


UBS FINANCIAL SERVICES INC.

Palo Alto, CA 94304-1003

CRD#: 8174

Years of Experience: 17

Total Disclosures: 17

Customer Disputes: 17

Regulatory Disclosures: 0

Other Disclosures: 0

66,998 Results

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