Our Staff has compiled our research into a database of FINRA Broker Disclosures for AW Securities. 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 |
|---|---|---|---|---|---|---|---|---|
| Kelly G Richards | 4918409 | 1 | 08/06/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Bartolomeo Giordano | 2113945 | 2 | 11/18/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lisa Fulco | 2630703 | 2 | 03/23/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |