RUSSELL WARREN BROAD at VALIC FINANCIAL ADVISORS, INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6303123
RUSSELL WARREN BROAD is an Investment Adviser, associated with VALIC FINANCIAL ADVISORS, INC. located at NASHUA, NH. RUSSELL BROAD’s Central Registration Depository (CRD) number is 6303123 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for RUSSELL BROAD

    • Event Date: 5/20/2020
    • Disclosure Type: Customer Dispute
    • Resolution: Denied
    • Allegations: CLIENT ALLEGED SHE REQUESTED HER REGISTERED REPRESENTATIVE MOVE HER ENTIRE ACCOUNT BALANCE TO A FIXED INTEREST OPTION BUT IT WAS APPARENTLY NOT DONE AND SHE LOST APPROXIMATELY $10,000.
    • Damage Amount Requested: $10,000.00
    • Arbitration Docket Number:
    • Broker Comment: THE FIRM INVESTIGATED THE CLIENT’S COMPLAINT, THERE WAS NO WRONGDOING FOUND ON MR. BROAD’S PART AND NO MERIT TO THE ALLEGATIONS, THE COMPLAINT WAS DENIED.


Should I file a FINRA complaint against brokers like RUSSELL WARREN BROAD?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by RUSSELL WARREN BROAD’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About RUSSELL WARREN BROAD

What is RUSSELL BROAD's Central Registration Depository (CRD) Number?

6303123

Which firm is RUSSELL WARREN BROAD associated with?

VALIC FINANCIAL ADVISORS, INC.

Where is RUSSELL BROAD located?

410 AMHERST STREET, NASHUA, NH, 3063

Where can I find more details about RUSSELL BROAD's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/42803 to read a detailed report for VALIC FINANCIAL ADVISORS, INC.

Are there any disclosures, allegations or complaints filed against RUSSELL WARREN BROAD?

Yes. There are disclosures, allegations, or complaints filed against RUSSELL WARREN BROAD. Click here to view all details

Where can I download a detailed FINRA report for RUSSELL BROAD?

Click here to download a detailed FINRA report for RUSSELL BROAD

Is it safe to do business with RUSSELL WARREN BROAD?

We’re not sure. Please research RUSSELL BROAD’s disclosures, allegations and complaints before taking a decision


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