Our Staff has compiled our research into a database of FINRA Broker Disclosures for Alight Financial Solutions, 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 |
|---|---|---|---|---|---|---|---|---|
| Alisha Waters | 6746267 | 1 | 11/11/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trevor Tyson Thomas | 5593504 | 1 | 04/15/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Colleen Marie Etue | 5324748 | 1 | 06/16/2013 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Ronald William Baker | 2098564 | 1 | 02/15/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Johnathan Smith | 7858912 | 1 | 02/28/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Thomas Waller | 6401816 | 1 | 09/06/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen John Gerek | 1328362 | 1 | 02/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |