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 |
|---|---|---|---|---|---|---|---|---|
| Richard A Ure | 5027858 | 1 | 11/21/2023 | Customer Dispute | Settled | $99,000.00 | $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 |
| Benjamin Joseph Zaharias | 4609899 | 2 | 11/08/2012 | Customer Dispute | Denied | $11,330.50 | $0.00 | See FINRA Report |
| David William Brady | 2191009 | 2 | 07/23/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David William Brady | 2191009 | 2 | 03/21/2007 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Michael B Haney | 1133168 | 1 | 08/21/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Leo Dominic Carton | 1289027 | 1 | 09/03/2002 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Benjamin John Garcia | 1440737 | 2 | 01/29/1999 | Customer Dispute | Denied | $30,253.60 | $0.00 | See FINRA Report |
| Benjamin John Garcia | 1440737 | 2 | 10/08/1997 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |