Securian Financial Services – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Securian Financial Services. If you suffered losses investing with Securian Financial Services, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Securian Financial Services (CRD# 15296) (SEC# 8-31955)
As of September 12, 2016, Securian Financial Services’s FINRA BrokerCheck Report contains the following:
9 Regulatory Event Disclosures
0 Civil Event Disclosures
3 Arbitration Disclosures
10 Bond Disclosures
Main Office Location
400 ROBERT STREET NORTH
ST. PAUL, MN 55101-2098
Mailing Address
400 ROBERT STREET NORTH
ST. PAUL, MN 55101-2098
Business Telephone Number
651-665-3161
Direct Owners and Executive Officers
SECURIAN FINANCIAL GROUP, INC. – 100% SHAREHOLDER
BERLUTE, PETER GORDON (CRD# 6175204) – VICE PRESIDENT, BUSINESS OPERATIONS, CHIEF FINANCIAL OFFICER, TREASURER & FINOP
CARPENTER, KIMBERLY KAY (CRD# 4266541) – VICE PRESIDENT, COMPLIANCE
CHOCHREK, SUZANNE MARIE (CRD# 1520107) – VICE PRESIDENT, BUSINESS & MARKET DEVELOPMENT
CHRISTENSEN, GARY ROGER (CRD# 4305912) – MEMBER OF BOARD OF DIRECTORS
CONNOLLY, GEORGE IGNATIUS (CRD# 1457599) – PRESIDENT, CEO, MEMBER OF BOARD OF DIRECTORS
MCGRATH, JEFFREY DANIEL (CRD# 2732974) – VICE PRESIDENT
WILSON, LOYALL EDWARD (CRD# 1368670) – EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER & SECRETARY
ZACCARO, WARREN JOHN (CRD# 4948865) – MEMBER OF BOARD OF DIRECTORS
ZELLMER, KJIRSTEN GARETH (CRD# 4356568) – VICE PRESIDENT, STRATEGY & BUSINESS OPERATIONS
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Securian Financial Services and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.