JOSE A NAVARRO (JOSE ANTONIO NAVARRO, TONY NAVARRO), was listed with INDEPENDENT FINANCIAL, LLC, of Los Angeles, California, from 12/07/2017 - 08/15/2023. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSE A NAVARRO, has been in the securities industry for 31 years and was listed with 6 firms.  Navarro has 2 disclosures […]

On June 4, 2021, GRANT CHRISTOPHER BIRKLEY (GRANT BIRKLEY) CRD#: 2933533, formerly with SagePoint Financial of Barrington, Illinois, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Without admitting or denying FINRA’s findings, GRANT CHRISTOPHER BIRKLEY consented to the sanction and to the entry of findings that he […]

On February 19, 2021, SCOTT WAYNE REED (SCOTT W REED) CRD#: 3007033, a former broker from Wells Fargo of Scottsdale, Arizona, was barred by FINRA for allegedly selling away from the firm. Without admitting or denying FINRA’s findings, SCOTT WAYNE REED consented to the sanction and to the entry of findings that he allegedly participated […]

The Financial Industry Regulatory Authority (FINRA), has barred MICHAEL RICHARD MACKAY (MICHAEL R MACKAY) CRD#: 2279775, from acting as a broker or otherwise associating with a broker/dealer firm.  MacKay was previously registered both as a broker and as an investment advisor. According to FINRA’s BrokerCheck, MICHAEL R MACKAY was registered with TRANSAMERICA FINANCIAL ADVISORS, INC. […]