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Mick Shonsey: Concentration Complaint Against Ex-Cetera Advisor

An investor complaint recently filed against Omaha financial advisor Mick Shonsey (CRD# 422524) alleges that he engaged in violations of securities industry rules and standards, resulting in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Brokers International Financial Services and as an investment advisor with Brokers Financial.

Mr. Shonsey’s BrokerCheck report discloses one investor complaint. Filed in January 2023, it alleges that as a representative of Cetera Advisors, he made unsuitable investment recommendations involving real estate securities and over-concentrated investments in the customer’s account. The pending complaint alleges unspecified damages believed to be at least $5,000.

According to the Financial Industry Regulatory Authority, Mick Shonsey holds 51 years of securities industry experience. Based in Omaha, Nebraska, he has been registered as a broker with Brokers International Financial Services and as an investment advisor with Brokers Financial since March 2022. His registration history includes LPL Financial (Omaha, Nebraska; 2020-2022), Cetera Advisors (Omaha, Nebraska; 2012-2020), Securities America (Omaha, Nebraska; 2004-2012), GWR Investments (Omaha; 2001-2004), Morgan Stanley DW (Purchase, New York; 1990-2001), Merrill Lynch (New York, New York; 1979-1990), Piper Jaffray & Hopwood (1978-1989), Reinholdt & Gardner (1977-1978), Dain Kalman & Quail (1976-1977), St. Paul Investors (1971-1976), and Industry Savings Plan (1970-1971).

Mr. Shonsey’s credentials include the passage of eleven securities industry qualifying exams: the NYSE Branch Manager Examination, or Series 12; the Registered Options Principal Examination, or Series 4; the General Securities Principal Examination, or Series 24; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; the Registered Representative Examination, or Series 1; the General Securities Representative Examination, or Series 7; the AMEX Put and Call Exam, or PC; the Interest Rate Options Examination, or Series 5; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Iowa, Missouri, Nebraska, North Dakota, and Texas. (Information current as of April 1, 2023.)

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.

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