Articles Tagged with Summit Brokerage Services

Scott Kaup

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Nebraska-based Summit Brokerage Services broker/adviser Scott Kaup recently received a new pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kaup (CRD# 1002907).

Scott Kaup has spent 37 years in the securities industry and has been registered with Summit Brokerage Services in Stuart, Nebraska since 2016. Previous registrations include VSR Financial Services in Stuart, Nebraska (1989-2016); American General Securities in Phoenix, Arizona (1987-1989); VSR Financial Services (1984-1987); and St. Paul Investors (1981-1984). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 15, 1990; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on August 4, 1998; Series 7 (General Securities Representative Examination), which he obtained on November 16, 1985; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 13, 1981. He is a registered broker and investment adviser with 21 US states and territories.

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

Chad KeimPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that Michigan-based Summit Brokerage Services broker/adviser Chad Keim has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Keim (CRD# 2516391).

Chad Keim has spent 23 years in the securities industry and has been registered with Summit Brokerage Services in Sturgis, Michigan since March 2018. Previous registrations include Raymond James Financial Services in Sturgis, Michigan (2016-2018); LPL Financial in Sturgis, Michigan (1999-2016); Capital Brokerage Corporation in Richmond, Virginia (1995-1999); and Edward D. Jones & Company in St. Louis, Missouri (1994-1995). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 15, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 18, 1994; and Series 24 (General Securities Principal Examination), which he obtained on March 17, 1999. He is a registered broker and investment adviser with 20 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Florida, Illinois, Indiana, Kansas, Kentucky, Maryland, Michigan, Minnesota, New Jersey, Ohio, Oklahoma, Oregon, South Carolina, Texas, and Virginia.

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

Richard MercadoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that Maryland-based Summit Brokerage Services broker/adviser Richard Mercado has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mercado (CRD# 2302301).

Richard Mercado has spent 24 years in the securities industry and has been registered with Summit Brokerage Services in Laytonsville, Maryland since December 2017. He is founder and president of MERC Capital Management, based in Laytonsville, Maryland. Previous registrations include Cambridge Investment Research in Laytonsville, Maryland (2012-2017); FSC Securities Corporation in Luthersville, Maryland (2009-2012); Raymond James Financial Services in Rockville, Maryland (2003-2009); Morgan Stanley DW in Purchase, New York (2000-2002); AG Edwards & Sons in St. Louis, Missouri (1997-2000); RAF Financial in Denver, Colorado (1995-1997); Josephthal Lyon & Company in New York, New York (1994-1995); and Tamaron Investments (1993-1994). He is a registered broker and investment adviser with eight US states and territories: California, the District of Columbia, Georgia, Maryland, New Jersey, New York, Pennsylvania, Virginia, Washington and West Virginia.

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

Richard Brown

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Florida-based Summit Brokerage Services broker Richard Brown has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brown (CRD# 1595628).

Richard Brown has spent 29 years in the securities industry and has been registered with Summit Brokerage Services in Fort Myers, Florida since 2003. Previous registrations include McDonald Investments in Cleveland, Ohio (1999-2003) and Raymond James & Associates in St. Petersburg, Florida (1988-1998). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 22, 1988; Series 7 (General Securities Representative Examination), which he obtained on October 15, 1988; and Series 24 (General Securities Principal Examination), which he obtained on May 25, 2004. He is a registered broker with 21 US states and territories: Arizona, California, Connecticut, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Louisiana, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas and Virginia.

According to his BrokerCheck report, he has received three customer complaints and two pending customer complaints.

Robert Hudson

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 5, 2017 indicate that Vermont-based Summit Brokerage Services broker/adviser Robert Hudson has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hudson (CRD# 1715001).

Robert Hudson has spent 297 years in the securities industry and has been registered with Summit Brokerage Services in Essex Junction, Vermont since 2016. Previous registrations include VSR Financial Services in Essex Junction, Vermont; Brighton Securities in Rochester, New York; and HD Vest Investment Services in Irving, Texas. He is a registered broker and investment adviser in fifteen US states and territories.

According to his BrokerCheck report, he has received two regulatory sanctions, and one pending customer complaint.