Ann Reagan: Landmark Advisor Faces 6-Figure Complaint

Surprise, Arizona financial advisor Ann Reagan (CRD# 5597215) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cetera, doing business as Landmark Financial Advisors.

Ms. Reagan’s BrokerCheck report discloses one investor complaint. Filed in February 2026, it alleges that as a representative of Avantax Investment Services, she engaged in an unauthorized trading strategy. The pending complaint alleges damages of $112,766.

Investors should be aware that FINRA rules prohibit representatives like Ms. Reagan from conducting securities transactions without authorization. FINRA Rule 3260, for example, describes certain conditions under which brokers can make discretionary trades, and forbids the use of discretion without the customer’s prior written authorization and the firm’s written acceptance of the account as discretionary. FINRA Rule 2010, meanwhile, requires brokers to “observe high standards of commercial honor and just and equitable principles of trade,” which generally means that they may not perform unauthorized transactions. Brokers who violate these rules may be held liable for damages.

According to the Financial Industry Regulatory Authority, Ann Reagan holds 13 years of securities industry experience. Based in Surprise, Arizona, she has been registered as a broker and an investment advisor with Cetera since September 2025, doing business as Landmark Financial Advisors. Her registration history includes Avantax Investment Services and 1st Global Capital. Her credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; and the General Securities Representative Examination, or Series 7. She is licensed in Arizona and California. (Information current as of March 14, 2026.)

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