Close Menu
Free Consultation: 888-976-6111

Jonna Keller: $300K Complaint Against Ex-Sigma Advisor

Sarasota financial advisor Jonna Keller (CRD# 1983864) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth, as well as a managing partner at First Security Investments.

Ms. Keller’s BrokerCheck report discloses two investor complaints. The most recent, filed in December 2023, alleges that as a representative of Sigma Financial Corporation, she misrepresented material information in connection with a real estate investment and acted negligently. The pending complaint alleges damages of $300,000.

An earlier investor complaint, filed in 2006, alleged that as a representative of 2006, she misrepresented an investment in a variable annuity policy. In 2007 the complaint reached a settlement of $65,000.

According to the Financial Industry Regulatory Authority, Jonna Keller holds 24 years of securities industry experience. Based in Sarasota, Florida, she has been registered as a broker and an investment advisor with Osaic Wealth since September 2023. Her past registrations include SagePoint Financial (Sarasota, Florida; 2015-2023), SPC (Sarasota, Florida; 2010-2015), Sigma Financial Corporation (Sarasota, Florida; 2003-2015), First Security Investments (Kingston, Pennsylvania; 2000-2003), Tower Equities (Dayton, Ohio; 2000), and American General Securities (Phoenix, Arizona; 1999-2000). Her credentials include the passage of five securities industry qualifying exams: 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; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Combined State Law Examination, or Series 66. She holds 36 state licenses. (Information current as of January 15, 2024.)

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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Kiran Devarapalli: Leaders Group Advisor Fired by LPL

    Littleton, Colorado financial advisor Kiran Devarapalli (CRD# 6416586) was recently fired by LPL Financial in connection with alleged rule violations....

    Read More
  • Max & Randy Birkinbine: Ausdal Advisors Face GWG Complaint

    North Oaks, Minnesota financial advisors Max Birkinbine (CRD# 6836583) and Randy Birkinbine (CRD# 2008599) have received an investor complaint alleging...

    Read More
  • Bruce Johnson: L Bond Complaint Against Portsmouth Financial Advisor

    San Francisco financial advisor Bruce Johnson (CRD# 1126862) allegedly misrepresented investments in GWG L bonds, according to an investor complaint....

    Read More
  • Cataldo Panici: $355K REIT Complaint Against Wintrust advisor

    Frankfort, Illinois financial advisor Cataldo Panici (CRD# 2112617) recently received an investor complaint alleging damages of more than $300,000. Financial...

    Read More
  • Previous
  • Next