Potomac Analytics' Logo

BrokerCheck

Get the facts on your financial advisor, free of charge.

Search for a Broker or Financial Advisor by Name:

Filter by:

Sort by:

Displaying 10 out of 49,517 results

Sterling Richard Smith


STERLING SMITH CORPORATION

Houston, TX 77007

CRD#: 38041

Years of Experience: 41

Total Disclosures: 39

Customer Disputes: 39

Regulatory Disclosures: 0

Other Disclosures: 0

Richard Dean Pascuzzi


PROSPERA FINANCIAL SERVICES, INC.

Dallas, TX 75240

CRD#: 10740

Years of Experience: 43

Total Disclosures: 24

Customer Disputes: 22

Regulatory Disclosures: 1

Other Disclosures: 1

William Dudley Gross

Broker

CRD#: 1032405


COMMERCE STREET CAPITAL, LLC

Dallas, TX 75202

CRD#: 143797

Years of Experience: 41

Total Disclosures: 22

Customer Disputes: 22

Regulatory Disclosures: 0

Other Disclosures: 0

Mark Andrew Trewitt


DELTA INVESTMENT MANAGEMENT, LLC

Plano, TX 75093

CRD#: 149596

Years of Experience: 30

Total Disclosures: 20

Customer Disputes: 19

Regulatory Disclosures: 1

Other Disclosures: 0

M F Long


CALTON & ASSOCIATES, INC.

Plano, TX 75024

CRD#: 20999

Years of Experience: 34

Total Disclosures: 16

Customer Disputes: 15

Regulatory Disclosures: 1

Other Disclosures: 0

Latoya Lavone Martin


MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Dallas, TX 75202

CRD#: 7691

Years of Experience: 15

Total Disclosures: 16

Customer Disputes: 0

Regulatory Disclosures: 0

Other Disclosures: 16

Mark Alan Kemp


MCNALLY FINANCIAL SERVICES CORPORATION

Corpus Christi, TX 78414

CRD#: 121196

Years of Experience: 32

Total Disclosures: 15

Customer Disputes: 12

Regulatory Disclosures: 1

Other Disclosures: 2

Kayla Finley

Broker

CRD#: 7539607


FIDELITY BROKERAGE SERVICES LLC

Westlake, TX 76262

CRD#: 7784

Years of Experience: <1

Total Disclosures: 15

Customer Disputes: 0

Regulatory Disclosures: 0

Other Disclosures: 15

Terry Dale Lester


MDX WEALTH MANAGEMENT

Years of Experience: 37

Total Disclosures: 14

Customer Disputes: 10

Regulatory Disclosures: 1

Other Disclosures: 3

Francis Xavier Amsler


ROCKEFELLER FINANCIAL LLC

Houston, TX 77056

CRD#: 291361

Years of Experience: 29

Total Disclosures: 14

Customer Disputes: 14

Regulatory Disclosures: 0

Other Disclosures: 0

49,517 Results

Display: