Our Staff has compiled our research into a database of FINRA Broker Disclosures for Excel Securities & Associates, 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 |
|---|---|---|---|---|---|---|---|---|
| Theodore William McDonagh | 2668934 | 1 | 07/03/2023 | Customer Dispute | Denied | $61,225.00 | $0.00 | See FINRA Report |
| Barrett Oliver Schultz | 2741114 | 1 | 07/09/2018 | Customer Dispute | Settled | $491,862.00 | $0.00 | See FINRA Report |
| Jamie Thomas Fisher | 2628109 | 3 | 02/24/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jamie Thomas Fisher | 2628109 | 3 | 02/24/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Peter Daniel Sartori | 5064060 | 1 | 06/11/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vicki Lin Reighard-Kean | 4238486 | 2 | 02/04/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| C Christopher Stafford | 2170589 | 10 | 12/07/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan I Jablon | 4005861 | 1 | 11/18/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| C Christopher Stafford | 2170589 | 10 | 11/07/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| C Christopher Stafford | 2170589 | 10 | 10/11/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |