Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California]. Brian Pavelko has an employment history spanning several firms. He has been registered with NI Advisors in Milpitas, California, since March 13, 2022. Previously, Pavelko worked for SW Financial from September 2018 to March 2022, Democracy Funding […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Tammie Lyn Farrell (also known as Tammie Lyn Brown, Tammie Lyn Burk, Tammie Burk Farrell) [CRD: 2475931, Franklin, North Carolina]. Tammie Farrell worked for Wells Fargo Advisors, LLC from October 2000 to October 2012, and later joined Capital Investment Group, Inc. on October 9, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John William Wolf [CRD: 1846080, Appleton, Wisconsin]. Evidently, John Wolf worked for several firms throughout his career, including Purshe Kaplan Sterling Investments from November 2009 to January 2016, Raymond James Financial Services from June 1996 to September 2009, and Banc One Securities Corporation from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Fred Chen (also known as Fredrick Chen) [CRD: 5766069, Irvine, California]. Fred Chen worked for LPL Financial LLC from August 17, 2017, to May 15, 2018, Arque Capital, Ltd. from May 8, 2018, to February 24, 2020, and has been employed with Emerson Equity […]

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 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 Gregory DePaul Whelan (also known as Gregory Whelan) [CRD: 5247677, Fort Lauderdale, Florida]. Gregory Whelan previously worked for UBS Financial Services Inc. from January 2011 to July 2011 and Morgan Stanley from August 2011 to May 2013. Since April 2013, he has been registered […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jae Hun Kim (also known as Jae Kim) [CRD: 4620963, Cortlandt Manor, New York]. Jae Kim worked for E1 Asset Management, Inc. from February 2003 to March 2024, a tenure spanning 21 years. Recent disclosures reveal concerns about Kim’s conduct as both financial advisor […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida]. Evidently, Ruben Frezzotti worked for Raymond James Associates Inc. from February 13, 2013, to October 10, 2023. Certain recent disclosures, including client disputes and an employment termination, have raised concerns regarding his conduct. […]