Broker Blog

Brandon Allen (CRD #: 5410996) has been fired by RBC Capital Markets. The disclosure appears on his BrokerCheck record, accessed on December 16, 2025. Keep […]

John Adams (CRD #: 4742813) has been fired by Raymond James & Associates. This disclosure appears on his BrokerCheck record, accessed on December 16, 2025. […]

Alexis Campos (CRD #: 7642720) has voluntarily resigned from Charles Schwab. This disclosure appears on her BrokerCheck record, accessed on December 16, 2025. Keep reading […]

Jingtao Li (CRD #: 7757996) has voluntarily resigned from Merrill Lynch, Pierce, Fenner & Smith. This disclosure appears on his BrokerCheck record, accessed on December […]

Robert Caldwell (CRD #: 1995182), a broker previously registered with Ameriprise Financial Services, LLC, has voluntarily resigned. This disclosure appears on his BrokerCheck record, accessed on […]

Berkely Arrants (CRD #: 4692327) has voluntarily resigned from The Leaders Group Inc. This disclosure appears on his BrokerCheck record, accessed on December 11, 2025. […]

Taylor Nussbaum (CRD #: 7384506), a broker registered with MML Investors Services, LLC has voluntarily resigned from Northwestern Mutual Investment Services, LLC. This disclosure appears […]

Vanessa Wright (CRD #: 7067009), a broker previously registered with TIAA-CREF Individual & Institutional Services, LLC, has voluntarily resigned. This disclosure appears on her BrokerCheck record, […]

David Dodt (CRD #: 5790376) has been fired by Fidelity Brokerage Services. This disclosure appears on his BrokerCheck record, accessed on December 11, 2025. Keep […]

Bernadette Baumgarten (CRD #:  6252004), a broker with NY Life Securities LLC and Eagle Strategies LLC, is the subject of an investor dispute. This disclosure […]