Advisor Moves 90 events

No events recorded in this category.

New SEC Registrations 28 events

No events recorded in this category.

Disclosures 16 events

MML Investors Services, LLC disclosed that Raymond Cui, CRD #6285655, based in Springfield, MA, had a criminal disclosure removed from his record. Ameriprise Financial Services, LLC reported a new customer complaint against Jill Murphy, CRD #4669599, who is located in Minneapolis, MN. Merrill Lynch, Pierce, Fenner & Smith Incorporated disclosed a new customer complaint for John Ryan, CRD #1307774, based in New York, NY.

LPL Financial LLC reported a new customer complaint against Jimmy Lee, CRD #2940655, located in Fort Mill, SC. Cherry Creek Financial Advisors, Inc. disclosed a new regulatory action for John Barksdale, CRD #4581658, based in Valley, NE. Merrill Lynch, Pierce, Fenner & Smith Incorporated reported that Chukwuemeka Orakwue, CRD #8014900, located in New York, NY, had a criminal disclosure removed from his record.

Edward Jones disclosed a new judgment or lien for Heather Prusinski, CRD #8090082, based in St. Louis, MO, with an amount of $2,080.00. Merrill Lynch, Pierce, Fenner & Smith Incorporated reported a new judgment or lien for John Delandro, CRD #5418651, located in New York, NY, with an amount of $5,350.41.

Edward Jones disclosed a new customer complaint against Ronald Kukes, CRD #5664065, based in St. Louis, MO. Capital Financial Advisory Group, LLC reported a new criminal disclosure for Bryson King, CRD #8243047, located in Apex, NC.

Schwab Wealth Advisory, Inc. disclosed a new customer complaint for Maurice Linton, CRD #2852881, based in Lone Tree, CO. Private Advisor Group, LLC reported that Gilbert Neighbors, CRD #3221199, located in Morristown, NJ, had a judgment or lien removed from his record with an amount of $3,303.23. Cetera Investment Advisers LLC disclosed a new customer complaint for Charles Chan, CRD #2894827, based in Schaumburg, IL.

Citigroup Global Markets Inc. reported a new customer complaint against Edward Dieguez, CRD #1159982, located in New York, NY. Charles Schwab & Co., Inc. disclosed a new bankruptcy filing for R Durcanin, CRD #1946812, based in Lone Tree, CO. Compound Planning, Inc. reported that Bradley Porter, CRD #6464031, located in New York, NY, had a civil judgment removed from his record.

Failed Registrations 5 events

Birchwood Creek Capital Management LLC, based in Fairfield, Connecticut, with CRD number 338762, filed for a 120-day registration process on December 3, 2025, but did not complete it by the deadline, according to the Securities and Exchange Commission. Thirtyone Wealth, located in Pensacola, Florida, with CRD number 338832, also failed to complete its 120-day registration process, which began on January 5, 2026. Deianira Capital Management LLC, based in Miami, Florida, and registered under CRD number 338163, initiated the 120-day registration process on November 17, 2025, but did not finalize it.

Driftmark Capital, located in Austin, Texas, with CRD number 338531, started its 120-day registration on the same day as Deianira Capital Management LLC, November 17, 2025, and similarly failed to complete the process. Sharpe Advisors, LLC, based in New York City, New York, with CRD number 338664, began its 120-day registration on November 20, 2025, but did not meet the completion deadline.