Our Staff has compiled our research into a database of FINRA Broker Disclosures for Securities America, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Michael Keith Napier | 4811092 | 1 | 03/12/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Dale Peters | 5734019 | 1 | 03/04/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Justin Lawes | 4675482 | 1 | 10/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Laurence M Rothstein | 4591152 | 4 | 08/05/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Michael Perry | 5688484 | 1 | 06/06/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Laurence M Rothstein | 4591152 | 4 | 05/31/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason R Rasmussen | 6074487 | 6 | 08/30/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James D Belenis | 2441443 | 8 | 09/09/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Harold Oudenne | 2268145 | 1 | 01/06/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Ann Comer | 1014222 | 2 | 12/10/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |