Advisor Moves 17 events

Christina Hunter [CRD: 6223460], Mahone Tarrall [CRD: 1207694], Gina Varra [CRD: 4508190], Chanda Sloat [CRD: 7764982], Cameron Dunford [CRD: 5589413], and James Johnson [CRD: 5621121] have all moved from VARRA WEALTH MANAGEMENT LLC to VARRA FINANCIAL. Hannah Grubb [CRD: 7880423], Michael Albertson [CRD: 5440171], Joshua Hasselbach [CRD: 4876296], Wesley Phelps [CRD: 6067726], and Thomas Badders [CRD: 7720447] have transitioned from TRADEWELL SECURITIES, LLC to TRADEWELL TAX & FINANCIAL. Alyson Maher [CRD: 6236435] and Justin Bohall [CRD: 4409608] have left PRIVATE ADVISOR GROUP, LLC for WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC.

Rommel Garcia [CRD: 5167024] has moved from PNC WEALTH MANAGEMENT LLC to J.P. MORGAN SECURITIES LLC. Gavin Harsh [CRD: 7996844] has transitioned from HARSH WEALTH MANAGEMENT LLC to STONEBRIDGE WEALTH SYSTEMS LLC.

Casey Zeringue [CRD: 6617210] has left CHARLES SCHWAB & CO., INC. for SCHWAB WEALTH ADVISORY, INC. Lisa Bussenger [CRD: 5846783] has moved from KINETIC INVESTMENT MANAGEMENT, INC. to ROTHSCHILD WEALTH LLC.

New SEC Registrations 30 events

No events recorded in this category.

Disclosures 14 events

John Gerken of Centaurus Financial, Inc. in Anaheim, California, had a judgment or lien removed from his record on March 26, 2026. The total amount associated with the removed judgment was $41,829.70. Carmen Haynes at J.P.

Morgan Securities LLC in New York, New York, disclosed a new judgment or lien totaling $4,593.63 on March 26, 2026. Shannon Lynch of Compound Planning, Inc. in New York, New York, had a civil judgment removed from her record on March 26, 2026. Sandra Yeado at Edward Jones in St.

Louis, Missouri, disclosed a new customer complaint on March 26, 2026. Lacey Thornton of Wells Fargo Clearing Services, LLC in St. Louis, Missouri, had a judgment or lien removed from her record on March 26, 2026.

Jacob Leddy at Convergence Financial in Columbia, Missouri, disclosed a new termination on March 26, 2026. Paulo Garcia of Wells Fargo Clearing Services, LLC in St. Louis, Missouri, had a judgment or lien removed from his record on March 26, 2026.

The total amount associated with the removed judgment was $5,301.85. Kevin Kelly at Hartford Funds in Wayne, Pennsylvania, had a judgment or lien removed from his record on March 26, 2026. The total amount associated with the removed judgment was $22,061.38.

Eric Wurtel of Cetera Investment Advisers LLC in Schaumburg, Illinois, disclosed a new customer complaint on March 26, 2026. Benjamin Ankrum at Ameriprise Financial Services, LLC in Minneapolis, Minnesota, disclosed a new customer complaint on March 26, 2026. Paul Fegan of Navis Wealth Advisors LLC in Rye Brook, New York, disclosed a new judgment or lien totaling $173,969.68 on March 26, 2026.

Michelle Nocito at Private Advisor Group, LLC in Morristown, New Jersey, had a criminal disclosure removed from her record on March 26, 2026. Brennan Hervey at Edward Jones in St. Louis, Missouri, disclosed a new customer complaint on March 26, 2026.

Cuaduana Terry of Ameriprise Financial Services, LLC in Minneapolis, Minnesota, had a judgment or lien removed from her record on March 26, 2026. The total amount associated with the removed judgment was $7,567.00.