Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Colin Christy Kelty (also known as Colin Kelty) [CRD: 5859007, Oakbrook, Illinois]. Colin Kelty has been registered with Cetera Investment Services LLC since December 6, 2011, and Cetera Investment Advisers LLC since January 21, 2014. Previously, Kelty worked for Vision Investment Services, Inc., from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Dean Glienke [CRD: 5502866, Westlake Village, California]. David Glienke has been employed by Western International Securities, Inc. since May 28, 2008, where he is registered as both a broker and an investment adviser representative. Recent disclosures raise concerns about Glienke’s conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bryce Austin Hamilton (also known as Bryce Hamilton) [CRD: 4296113, Cornelius, North Carolina]. Bryce Hamilton worked for several prominent firms, including LPL Financial LLC from July 2024 to October 2024, and CliftonLarsonAllen Wealth Advisors, LLC from November 2023 to May 2024. His 22-year securities […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Matthew Jason Childs (also known as Matt Childs) [CRD#: 3110916, San Francisco, California]. Childs worked for Portsmouth Financial Services from February 2016 to December 2024. Recent disclosures reveal concerns about Childs’ conduct, including allegations of unsuitable recommendations and regulatory sanctions. FINRA Brings Regulatory Action […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Brian Swan [CRD#: 1698430, Westlake Village, California]. Swan has been registered with Western International Securities, Inc. since May 27, 2008, and has over 36 years of experience in the securities industry. Recent disclosures reveal concerns about Swan’s conduct, including allegations of unsuitable recommendations, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Stephen Theodore Mellinger III (also known as Stephen Mellinger) [CRD: 2819752, Niles, Michigan]. Stephen Mellinger previously worked for NYLIFE Securities LLC from November 2009 to January 2016. Recent disclosures reveal concerns about Mellinger’s conduct, including allegations of misrepresentation and unsuitable recommendations. NYLIFE Securities Client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Evan Jay Adelglass (also known as Evan Jan Adelglass) [CRD#: 2392225, Ansonia, Connecticut]. Evan Adelglass has worked for LPL Financial LLC since August 31, 2005. Recent disclosures reveal concerns about Adelglass’s conduct, including allegations of unsuitable investment recommendations and client disputes. October 7, 2024 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Kyle William Chapman [CRD: 6303483, Henderson, Nevada]. Kyle Chapman worked for American Trust Investment Services from November 2020 to July 2022 and WestPark Capital, Inc. from August 2018 to October 2020. Recent disclosures reveal concerns about Chapman’s conduct, including allegations of unsuitable investment recommendations […]

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, […]