brokerwatch

James Gordon Kirschner | Cetera Advisors

According to FINRA’s BrokerCheck website for Public Disclosures, James Kirschner has been the subject of 12 disclosures, all of which are Financial. According to BrokerCheck, as of 11/4/2022, all disclosures have reached a compromise, except for the disclosure filed in April 2018, which is still pending:

April 2018 – Financial – Pending
Broker Comment: “I quit Ameriprise Financial (sic) on 2/2/2017. There was a $217,000 balance owed on Loan Bonuses that they are recouping.”

To review James Kirschner’s Brokercheck report, click here:
https://brokercheck.finra.org/individual/summary/1445822
*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)

James Gordon Kirschner Client?

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

James Kirschner has worked at multiple firms over the years including Bateman Eichler, Hill Richards Inc, Dean Witter Reynolds Inc, Great Western Financial Securities Corp, Glenfed Brokerage Services, Financial Network Investment Corporation, and LPL Financial Corporation, Ameriprise Financial Services Inc, and Cetera Advisors LLC. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website, www.brokercheck.finra.org.

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