Articles Tagged with First Allied Securities

Louise ShortPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that former Oklahoma-based First Allied Securities broker/adviser Louise Short, who is currently registered as a investment adviser with United Income, has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Short (CRD# 1751555).

Louise Short has spent 31 years in the securities industry and was most recently registered as a broker with First Allied Securities in Tulsa, Oklahoma (2010-2019). She has been registered as an investment adviser with United Income in Tulsa, Oklahoma since December 2018. Her previous registrations include SWS Financial Services in Tulsa, Oklahoma (1994-2010); Southwest Securities in Dallas, Texas (1990-1994); and First Investors Corporation in New York, New York (1987-1990). She has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on May 15, 2001; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on October 9, 1987; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which she obtained on August 14, 1990; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on October 9, 1987; and Series 24 (General Securities Principal Examination), which she obtained on July 6, 2015. She is currently not registered as a broker with any state or firm.

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

sean brady

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that former Missouri-based First Allied Securities broker Sean Brady, who has received several pending customer disputes, was terminated from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brady (CRD# 4365173).

Sean Brady has spent 16 years in the securities industry and was most recently registered with First Allied Securities in St. Louis, Missouri (2008-2017). He was previously registered with FFP Securities in St. Louis, Missouri (2001-2008). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 2, 2001, and Series 7 (General Securities Representative Examination), which he obtained on March 22, 2001. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

ronald mccookPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Arizona-based First Allied Securities broker/adviser Ronald McCook is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCook (CRD# 4155186).

Ronald McCook has spent 17 years in the securities industry and has been registered with First Allied Securities in Scottsdale, Arizona since 2014. Previous registrations include National Planning Corporation in Scottsdale, Arizona (2009-2014); Sagepoint Financial in Scottsdale, Arizona (2005-2009); SunAmerica Securities in Phoenix, Arizona (2001-2005); and Washington Square Securities in Des Moines, Iowa (2000-2001). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 8, 2000, and Series 7 (General Securities Representative Examination), which he obtained on July 22, 2000. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Kansas, Michigan, Nevada, New York, Oklahoma, Oregon, Texas, Utah, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.