Our Staff has compiled our research into a database of FINRA Broker Disclosures for Gradient Securities, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Armando Cunill | 1323140 | 1 | 11/13/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Joseph Zaharias | 4609899 | 2 | 04/16/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alex Wong | 6781945 | 1 | 03/27/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Edward Stovall | 5581487 | 1 | 03/12/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Richard Fetzer | 1237076 | 1 | 08/30/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Rauguth | 1564114 | 5 | 03/11/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Rauguth | 1564114 | 5 | 09/22/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Rauguth | 1564114 | 5 | 03/04/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Rauguth | 1564114 | 5 | 03/22/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Edward Rauguth | 1564114 | 5 | 03/22/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |