Articles Tagged with Cetera Investment Services

Doris LauPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that California-based Cetera Investment Services broker/adviser Doris Lau has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Lau (CRD# 5750600).

Doris Lau has spent eight years in the securities industry and has been registered with Cetera Investment Services in Rowland Heights, Diamond Bar, and South Pasadena, California since 2013. Previous registrations include Merrill Lynch in Pasadena, California (2011-2012); HSBC Securities in Walnut, California (2010-2011); and First Brokerage America in Rowland Heights, California (2010). She has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on November 15, 2011; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on August 24, 2010; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which she obtained on October 19, 2011; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on February 24, 2010. She is a registered broker and investment adviser with five US states: California, Iowa, Maryland, Nevada, and Washington.

According to her BrokerCheck report, she has received one pending customer complaint.

Truitt Ficklin

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Indiana-based Cetera Investment Services broker/adviser Truitt Ficklin has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ficklin (CRD# 6253265).

Truitt Ficklin has spent three years in the securities industry and was most recently registered with Cetera Investment Services in Muncie, Indiana (2015-2017). Previous registrations include Edward Jones in Elwood, Indiana (2013-2015). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 10, 2014, and Series 7 (General Securities Representative Examination), which he obtained on December 23, 2013. He is currently not a registered broker and investment adviser with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and four customer complaints.