How trustworthy is your Financial Advisor?

CHECK FOR RED FLAGS

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See the full picture before you decide

Nearly 100,000 registered financial advisors have customer disputes, bankruptcies, criminal activity, and more on their records. In 2023, about 60 red flags were recorded daily. That's why it's crucial to check if your advisor has any red flags and decide whether you're comfortable with them.

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ADVISOR PROFILE

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/1992 APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: NFG ADVISORS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2022 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: JEM STRATEGIES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2019 POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: FIXED INSURANCE ACTIVITIES INCLUDING PREMIUM FINANCING 4. NAME OF OTHER BUSINESS: LIFE STRATEGIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE INSURANCE START DATE: 04/2022 POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: MARKETING FOR FIXED INSURANCE PRODUCTS 5. NAME OF OTHER BUSINESS: NFG BROKERAGE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: WHOLESALING OF FIXED INSURANCE PRODUCTS START DATE: 09/2017 POSITION/TITLE/RELATIONSHIP: SENIOR VICE PRESIDENT APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: WORK WITH OTHER ADVISORS AND AM PAID AN OVERRIDE WHEN THEY SELL INSURANCE PRODUCTS; 6. NAME OF OTHER BUSINESS: GLOBAL SUCCESSION PLANNING, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 01/2024, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 5, BRIEF DESCRIPTION OF DUTIES: DESIGN AND UNDERWRITING OF THE LIFE INSURANCE PRODUCTS;

FIRM INFORMATION

Some financial advisors may work at more than one firm. Click view work history below to review their data.

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At AdvisorCheck, we want to ensure that the financial advisor you work with, or plan to work with, provides you with peace of mind that your money is safe. That’s why we offer background checks that cover 9 key categories.
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John Edgar Morrill

Experience: 33 years / 10 firms

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