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 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Howard Dennis Kavinsky (also known as Howard Kavinsky) [CRD#: 5881623, Chicago, Illinois]. Howard Kavinsky worked for several firms during his 13-year career in the securities industry. He worked for Hornor, Townsend & Kent, Inc. from March 2011 to March 2015, Morgan Stanley from April […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Lowther (also known as Jason Smith) [CRD#: 2606268, Ann Arbor, Michigan]. Jason Lowther has over 27 years of experience in the securities industry and is currently employed by Concorde Investment Services, LLC, where he has worked since September 2021. He previously worked for […]

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 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Adam Ryan Jacobs [CRD: 4990788, Beachwood, Ohio]. Adam Jacobs has been employed with Oppenheimer & Co. Inc. since January 23, 2009. He has spent over 15 years with the firm and currently serves as a financial advisor in its Beachwood, Ohio branch. Recent disclosures […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Rodney Wayne Rich Jr. (also known as Rod Rich Jr., Rodney W. Rich, Rodney Rich) [CRD: 714642, Bellevue, Washington]. Rodney Rich Jr. has been registered with Ameriprise Financial Services, LLC, since April 29, 2016. Recent disclosures reveal concerns about Rich’s conduct, including allegations involving […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brittani Corren Schaefer (also known as Brittani Corren Cooper) [CRD#: 6327801, St. Louis, Missouri]. Brittani Schaefer worked for Edward Jones from June 24, 2014, to September 15, 2020, and later joined Arete Wealth Management, LLC, on September 11, 2020, where she remained until May […]

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 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gaylord Rohloff (also known as Gaylord Rohloff) [CRD#: 1542216, Westlake Village, California]. Gaylord Rohloff has been employed at Western International Securities, Inc. since May 27, 2008. Western International Securities Client Files Pending Complaint Alleging Unsuitability On July 31, 2024, a client of Western International […]