J. Brian Glaze: Ex-LPL Advisor Faces Suitability Complaint

A recent investor complaint against Graham, North Carolina financial advisor J. Brian Glaze (CRD# 5373140) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services, doing business as Envision Wealth Partners.

Mr. Glaze’s BrokerCheck report discloses one investor complaint. Filed in April 2023, it alleges that as a representative of LPL Financial, he recommended unsuitable investments in structured products between August 2021 and May 2022. (Additional information about FINRA’s suitability rule, which requires brokers to recommend investments and strategies that are suitable for their customers’ objectives and backgrounds, based on reasonable diligence into the investment and/or strategy, is available here.) The pending complaint alleges unspecified damages of at least $5,000.

According to the Financial Industry Regulatory Authority, J. Brian Glaze holds 15 years of securities industry experience. Based in Graham, North Carolina, he has been a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services since 2022, doing business as Envision Wealth Partners. His registration history includes LPL Financial (Graham, North Carolina; 2012-2022), IFG Advisory (Graham, North Carolina; 2015-2022), and SunTrust Investment Services (Graham, North Carolina; 2007-2012). His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Florida, Georgia, Indiana, Maine, Maryland, North Carolina, Ohio, South Carolina, Tennessee, Texas, Virginia, and Washington. (Information current as of May 9, 2023.)

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