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Cetera Advisors

Ronald Metcalf, Jr.-Former VOYA Financial Advisor-Discloses Customer Suits Over LP’s & Direct Investments-Greenville, S. Carolina
Ronald Metcalf, Jr.-Former VOYA Financial Advisor-Discloses Customer Suits Over LP’s & Direct Investments-Greenville, S. Carolina 150 150 Rex Securities Law

Ronald Metcalf, Jr. Investigation September 2021-Greenville, S. Carolina According to publicly available records Ronald F. Metcalf, Jr.  ,  a  stockbroker who was previously registered with Voya Financial Advisors, who operates Metcalf &…

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Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL
Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL  We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses  a prior regulatory matter,  2 pending customer disputes and…

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Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA
Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA 150 150 Rex Securities Law

July 2021-San Jose, CA According to publicly available records.  Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc.,  discloses 1 pending and 4 prior customer disputes. The Financial…

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Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA
Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA 150 150 Rex Securities Law

November  2020- Pittsburg, PA According to publicly available records  Keith Thomas Lohm, Sr. (CRD#1516728), a  former stockbroker who last worked for Citizens Securities, Inc.,  discloses a termination from employment. The…

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Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT
Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT 150 150 Rex Securities Law

October 2020- Salt Lake City, UT According to publicly available records, former Cetera Advisor Networks,  financial advisor Stanley B. Secor,  has been barred from the securities industry by  FINRA and…

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Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX
Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX 150 150 Rex Securities Law

April 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) ,  a  former stockbroker who last worked for Securities America, Inc.,  was recently suspended indefinitely. The Financial Industry Regulatory…

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Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN
Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Rex Securities Law

January 2020- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose a pending customer dispute and 3 prior customer disputes . The Financial Industry Regulatory…

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Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA
Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA 150 150 Rex Securities Law

January 2020- Fresno, CA The FINRA records of Kendall J. Groom  , a broker previously employed  by  Independent Financial Group , disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

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Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO
Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO 150 150 Rex Securities Law

January 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by  Cetera Advisor Networks , disclose a pending customer dispute and  a prior customer dispute. The Financial Industry…

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