Our Staff has compiled our research into a database of FINRA Broker Disclosures for BA 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 |
|---|---|---|---|---|---|---|---|---|
| Lloyd Brian Hannan | 4528184 | 2 | 06/26/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Leonard Kochman | 4450783 | 2 | 11/07/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Leonard Kochman | 4450783 | 2 | 08/17/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Samuel Hakim | 5780296 | 2 | 12/14/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Samuel Hakim | 5780296 | 2 | 05/27/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jess Sture Schou Larsen | 6311217 | 1 | 01/06/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Kenneth Ahlholm | 1992745 | 2 | 12/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Alan Glickman | 1052403 | 1 | 05/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Ari Stevens | 3088491 | 1 | 03/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Caroline Elizabeth Wisniewski | 1463513 | 1 | 04/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |