Daniel Zlotnick (CRD: 1177472), a former securities broker in Melville, New York, is named in a client dispute involving alleged investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Zlotnick worked for LPL Financial LLC from April 28, 2016, to May 4, 2021; Triad Advisors LLC from April 30, 2021, to August 23, 2024; and Osaic Wealth Inc. from August 23, 2024, to April 17, 2026. Here’s what the pending arbitration involves.
Kestra Investment Services LLC clients filed FINRA Arbitration No. 26-00557 on March 11, 2026. They alleged that Zlotnick recommended unsuitable alternative investments and that the recommendations resulted in losses involving direct investments. For that reason, the client seeks compensation from Zlotnick or the securities broker. The arbitration remains pending.
An investment recommendation from a broker or financial advisor can be unsuitable if an alternative investment does not match the client’s investment goals, risk tolerance, liquidity needs, financial circumstances, or time horizon. Direct participation programs (DPPs) and limited partnerships (LPs) can involve limited liquidity, fees, concentration risk, or long holding periods. For clients who need ready access to their money or cannot take on the risks involved, those features may make the investment unsuitable.
Investors who believe they suffered losses because of Daniel Zlotnick can contact Soreide Law Group online or at (888) 760-6552 to discuss potential recovery with a securities attorney. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Zlotnick and the brokerage firms where he worked deny allegations of sales practice violations.
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