Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2018 indicate that Ohio-based American Wealth Management broker Brian Stephan has been named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stephan (CRD# 4222796).
Brian Stephan has spent 18 years in the securities industry and has been registered with American Wealth Management in Xenia, Ohio since December 2017. Previous registrations include Commonwealth Financial Network in Xenia, Ohio (2014-2017); LPL Financial in Xenia, Ohio (2003-2014); and Edward Jones in St. Louis, Missouri (2000-2003). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 31, 2000; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 28, 2000; and Series 24 (General Securities Principal Examination), which he obtained on April 14, 2005. He is a registered broker and investment adviser with 21 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Indiana, Kansas, Kentucky, Michigan, Minnesota, Nebraska, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Texas, Virginia, and Washington.
According to his BrokerCheck report, Brian Stephan has received one denied customer complaint and was recently named in a pending FINRA complaint.