Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ahmad Mohamed Maklou (also known as Ed Maklouf) [CRD: 6092943, Staten Island, New York]. Ahmad Maklouf worked for Spartan Capital Securities, LLC (August 2017 to December 2022), Worden Capital Management LLC (November 2016 to September 2017), and Legend Securities, Inc. (June 2014 to November […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ceondre LaQuan Colvin [CRD: 7329753, Pittsburgh, Pennsylvania]. Ceondre Colvin worked for NYLIFE Securities LLC from September 2022 to June 2024. Prior to this, he held positions at non-securities-related employers and managed his own businesses. Recent disclosures raise concerns about Colvin’s professional conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Theodore William Byrer (also known as Ted Byrer) [CRD: 2980696, Indianapolis, Indiana]. Theodore Byrer previously worked for Morgan Stanley from November 2013 to April 2023, among other firms, including Raymond James & Associates, A.G. Edwards & Sons, and International Assets Advisory. Recent disclosures raise […]

JAMES ALOYSIUS CONWELL II (JIM CONWELL, JAMES A CONWELL) is currently registered with INTERNATIONAL ASSETS ADVISORY, LLC of Daphne, Alabama, as a broker since 7/24/17 and as an investment advisor since 12/18/2018. Conwell was previously registered with WFG ADVISORS, LP of Daphne, Alabama. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JAMES […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Roger Philip Turcotte [CRD: 1180997, Tampa, Florida]. Recent regulatory actions highlight concerns regarding Turcotte’s conduct, specifically allegations involving inaccurate recordkeeping and violations of firm policies. Regulatory Action by FINRA On September 3, 2024, FINRA initiated disciplinary action against Roger Turcotte, citing violations related to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Christopher John Jacobi (also known as Chris Jacobi) [CRD#: 1648679, Pensacola, Florida]. Jacobi has been registered with Ameriprise Financial Services, LLC, since May 28, 2009, and has spent 37 years in the securities industry, working for seven different firms. Recent disclosures have raised concerns […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gaylord Wesley Rohloff [CRD: 1542216, Westlake Village, California]. Evidently, Gaylord Rohloff registered with Western International Securities, Inc. since May 27, 2008. Recent disclosures reveal concerns about Rohloff’s conduct, including allegations of unsuitable investment recommendations and unauthorized trading. July 31, 2024: Western International Securities Client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Christopher Todd Bailey (also known as Chris Bailey) [CRD#: 6907048, Cumming, Georgia]. Bailey worked for NYLIFE Securities LLC from May 2021 to January 2022 and later joined MML Investors Services, LLC from November 2022 to March 2024. Recent disclosures highlight concerns about Bailey’s conduct, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Peter Joseph Glowacki (also known as Pete Glowacki) [CRD: 1156214, Laguna Niguel, California]. Glowacki previously worked for TCFG Wealth Management, LLC from April 2023 to April 2024, and for RBC Capital Markets, LLC from March 1998 to March 2023. Recent disclosures reveal concerns about […]