Curtis Kroll: Wells Fargo Advisor Faced $10mm Complaint

A recent investor complaint against Jacksonville, Florida financial advisor Curtis Kroll (CRD# 6487481) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.

Mr. Kroll’s BrokerCheck report discloses one investor complaint. Filed in July 2026, it alleges that as a representative of Wells Fargo Clearing Services, he provided unsuitable investment advice between 2020 and 2025. The complaint alleges damages of $10 million.

In comments included with the complaint’s disclosure, Mr. Kroll defended himself against the claim. “The allegations consist of inaccuracies and misrepresentations,” he wrote. “This matter will be vigorously defended seeking a denial of all relief sought.”

FINRA rules stipulate that brokers like Mr. Kroll can only recommend investments and strategies that are suitable for a given customer. Under FINRA Rule 2111, a broker must “have a reasonable basis to believe that a recommended transaction or investment strategy” is appropriate for the customer’s objectives, a basis reached through reasonable diligence into the customer’s investment profile. FINRA Rule 2010 requires representatives to “observe high standards of commercial honor and just and equitable principles of trade.” Brokers who recommend unsuitable investments may be held liable in the event of losses.

According to the Financial Industry Regulatory Authority, Curtis Kroll holds eight years of securities industry experience. Based in Jacksonville, Florida, he has been registered as a broker and an investment advisor with Wells Fargo Clearing Services since 2017. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Uniform Combined State Law Examination, or Series 66. He holds 51 state licenses. (Information current as of August 13, 2026.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.