Articles Tagged with Anthony Seifert

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Seifert (Seifert), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Seifert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 23, 2025.

Without admitting or denying the findings, Seifert consented to the sanctions and to the entry of findings that he exercised discretion for transactions in customer accounts without their written authorization and without his member firm’s acceptance of the accounts as discretionary accounts. The findings stated that the customers knowingly permitted Seifert to exercise discretion.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Seifert (Seifert), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Seifert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 23, 2025.

Without admitting or denying the findings, Seifert consented to the sanctions and to the entry of findings that he exercised discretion for transactions in customer accounts without their written authorization and without his member firm’s acceptance of the accounts as discretionary accounts. The findings stated that the customers knowingly permitted Seifert to exercise discretion.