Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Cara Michelle Miller (also known as Cara M. Miller, Cara Michelle Smith) [CRD#: 4521819, Rapid City, SD]. Miller previously worked as a broker at multiple firms, including ProEquities Inc. from May 2006 to September 2020. She is currently registered as an investment adviser with […]

John Nicholas Matson Formerly of LPL Financial John N Matson, a former financial advisor, was associated with LPL Financial LLC of Manhattan Beach, California, from 2007 to 2015 and 2017 to 2022. Prior to returning to LPL FINANCIAL LLC, he was affiliated with Ameriprise Financial Services, Inc. of Los Angeles, California from 2015 to 2017, […]

Mark C Creason, according to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, is currently a broker with Metric Financial, LLC of Atlanta.  Creason has been employed with Metric Financial since October 16, 2023. Mark C Creason was previously listed as a broker with Emerson Equity LLC of Temecula, California from March […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SANFORD GRAHAM SIMMONS JR (SANDY SIMMONS JR, SANFORD GRAHAM SIMMONS) was permanently barred from acting as a broker or otherwise associating with a broker/dealer firm by FINRA on October 17, 2024.  Simmons was previously registered both as a broker and as an investment advisor. […]

DALE ERBIN TIMMERMANN, according to FINRA’s BrokerCheck, is currently registered as a broker with MOLONEY SECURITIES CO INC of Vandalia, Illinois. Timmermann has been with MOLONEY SECURITIES since January 17, 2012. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DALE ERBIN TIMMERMANN has been in the securities industry for 31 years and […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, PETER BRIAN ROBERTSON is currently with OSAIC WEALTH INC of Irvine, California.  Robertson registered as a broker with OSAIC WEALTH INC, June 1, 1998, and as an investment advisor on December 19, 1997. PETER BRIAN ROBERTSON, according to FINRA’s BrokerCheck, has been in the […]

DANNY RAY STRAIN (DAN STRAIN) is currently registered with CAPE SECURITIES INC of Columbus, Georgia since 2008 as a broker, and 2009 as an investment advisor with CAPE INVESTMENT ADVISORY INC, also of Columbus, Georgia. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DANNY RAY STRAIN has been in the securities industry […]

JUSTIN TEX ROBERTO was previously registered as a broker and is currently registered as an investment advisor.  Roberto was discharged from MML INVESTORS SERVICES LLC of Virginia Beach, Virginia. According to FINRA’s BrokerCheck, there is an “Employment Separation after Allegations” listed on JUSTIN TEX ROBERTO’s FINRA CRD report dated October 9, 2024. The allegations listed […]

ARMANDO ALEJANDRO BARRON (ALEX A BARRON), according to a disclosure on FINRA’s BrokerCheck dated January 8, 2025, has been fined $50,000.00 and suspended from acting as a broker for two years, with a start date of 1/21/2025 and an end date of 1/20/2027.  Barron was previously employed by IRC SECURITIES LLC of New York, NY […]