Close Menu
Free Consultation: 888-976-6111

Lucy Cueller: Suitability Complaint Against Northpoint Advisor

Warrenville, Illinois financial advisor Lucy Cueller (CRD# 3089802) recently received an investor complaint alleging that she made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Osaic Wealth, doing business as Northpoint Financial Group.

Ms. Cueller’s BrokerCheck report discloses one recent investor complaint. Filed in February 2024, it alleges that as a representative of Woodbury Financial Services, she recommended unsuitable alternative investments, including real estate securities. The pending complaint alleges damages of at least $5,000.

Northpoint Financial Group’s website includes a profile of Ms. Cueller that describes her background and experience. “Her professional background also includes ten years with a large corporation, which included various financial analyst, accounting and operational positions,” the profile states. “This experience gives her the resources and expertise to custom design financial plans for the individual needs of her clients. Lucy also provides financial planning seminars to a variety of corporate organizations, women’s associations and other groups.”

According to the Financial Industry Regulatory Authority, Lucy Cueller holds 25 years of securities industry experience. Based in Warrenville, Illinois, she has been a broker and an investment advisor with Osaic Wealth since January 2024, doing business as Northpoint Financial Group. Her registration history includes Woodbury Financial Services (Warrenville, Illinois; 2002-2024) and WS Griffith Securities (Rosemont, Illinois and Hartford, Connecticut; 1998-2002). Her 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 Investment Adviser Law Examination, or Series 65. She is licensed in Alabama, Florida, Georgia, Illinois, Indiana, Texas, and Wisconsin. (Information current as of March 24, 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
  • Cindy Beyerlein: FINRA Suspends Former Ameriprise Advisor

    Former Lancaster, Pennsylvania financial advisor Cindy Beyerlein (CRD# 4320421) has been suspended in connection with allegations that she violated industry...

    Read More
  • Jeff Conforti: Investor Complaint Against Conforti Financial Advisor

    Campbell, California financial advisor Jeff Conforti (CRD# 1624993) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial...

    Read More
  • Michelle Stebbins: $305K Complaint Against Stifel Advisor

    Southfield, Michigan financial advisor Michelle Stebbins (CRD# 4156378) allegedly failed in her supervisory responsibilities, according to a recent investor complaint....

    Read More
  • Brad Bergdahl: Premier Wealth Advisor Faces Investor Complaint

    Cando, North Dakota financial advisor Brad Bergdahl (CRD# 1432349) allegedly recommended an unsuitable investment, according to a recent investor complaint....

    Read More
  • Previous
  • Next