RUDY ANGUIANO is currently registered both as a broker and as an investment advisor with ALEXANDER CAPITAL LP and ALEXANDER CAPITAL WEALTH MANAGEMENT LLC of Red Bank, New Jersey since 1/9/2026. Anguiano was previously listed with LPL Financial of Brea, California from 04/04/2022 - 12/18/2025. In addition, he was listed with AMERIPRISE FINANCIAL SERVICES LLC of Aliso Veijo, California from 09/24/2020 - 04/08/2022.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RUDY ANGUIANO has 19 years of experience in the securities industry and has been listed with 8 firms. Anguiano has 4 disclosures on his FINRA CRD report.
There is an “Employment Separation After Allegations” disclosure listed on RUDY ANGUIANO’s FINRA CRD report dated 11/21/2025 discharging him from LPL FINANCIAL LLC. The allegations listed are as follows: “Engaged in outside business activity without prior notice and approval; and participated in and directed clients to private investments.”
A “Customer Dispute” dated 10/30/2025 filed against RUDY ANGUIANO settled for $1,528,000.00. The allegations were, “CUSTOMER VERBALLY ALLEGED ADVISOR ACCEPTED AND HAS NOT RETURNED FUNDS SENT FROM LPL CLIENT ACCOUNT TO AN UNAPPROVED OBA FOR WHICH HE WAS A SOLE MEMBER.”
Another “Customer Dispute” dated 4/22/2024 filed against Anguiano settled for $203,000.00. The allegations in this dispute were, “CUSTOMER VERBALLY ALLEGED ADVISOR ACCEPTED AND HAS NOT RETURNED FUNDS SENT FROM LPL CLIENT ACCOUNT TO AN UNAPPROVED OBA/LLC FOR WHICH HE WAS A SOLE MEMBER.”
FINRA Rule 3270, Outside Business Activities (OBA) of Registered Persons, states that no registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member, in such form as specified by the member.
To discuss this article or any other securities issues, contact Soreide Law Group and speak to an experienced securities lawyer at no cost: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis.
RUDY ANGUIANO is currently registered both as a broker and as an investment advisor with ALEXANDER CAPITAL LP and ALEXANDER CAPITAL WEALTH MANAGEMENT LLC of Red Bank, New Jersey since 1/9/2026. Anguiano was previously listed with LPL Financial of Brea, California from 04/04/2022 - 12/18/2025. In addition, he was listed with AMERIPRISE FINANCIAL SERVICES LLC […]
MARIO L MARTINEZ formerly of MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 5/1/2025. Martinez was registered as a broker with MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL from 10/23/2015 […]
Investors have reportedly disputed the sales practices of securities broker Ronald Albert Gelok Jr. (also known as Ron Gelok) [CRD: 1403352, Naples, Florida], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gelok worked for Ronald Gelok Associates LLC from November 17, 2017, to the present, and AAG Capital Inc. from July 8, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com