Our Staff has compiled our research into a database of FINRA Broker Disclosures for SVB 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 |
|---|---|---|---|---|---|---|---|---|
| Robert Alan Gaudreau | 1645356 | 5 | 08/12/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Gaudreau | 1645356 | 5 | 09/17/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Gaudreau | 1645356 | 5 | 05/01/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Romane Farrell | 4649254 | 1 | 04/11/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| J Eric Anderson | 1084169 | 1 | 03/02/1994 | Customer Dispute | Settled | $65,364.00 | $0.00 | See FINRA Report |
| Robert Alan Gaudreau | 1645356 | 5 | 12/04/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Gaudreau | 1645356 | 5 | 10/13/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |