Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that former California-based MML Investors Services broker Nicholas Radke has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Radke (CRD# 2610246).
Nicholas Radke has spent 23 years in the securities industry and was most recently registered with MML Investors Services in Irvine, California (2018). Previous registrations include American Independent Securities Group in Lake Oswego, Oregon (2011-2018); LPL Financial in Eugene, Oregon (2008-2011); Wedbush Morgan Securities in Eugene, Oregon (2006-2008); Hornor Townsend & Kent in Eugene, Oregon (2002-2006); Securian Financial Services in St. Paul, Minnesota (2001-2002); Hornor Townsend & Kent in Horsham, Pennsylvania (2000-2001); and Sentra Securities in Phoenix, Arizona (1995-2000). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 10, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on February 27, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 27, 1995. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one regulatory sanction.