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Parker Brean: Hilltop Advisor Faces Excessive Trading Complaint

A recent investor complaint against San Diego financial advisor Parker Brean (CRD# 5507026) alleges that he made excessive trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Hilltop Securities.

Mr. Brean’s BrokerCheck report discloses two investor complaints. The most recent, filed in April 2024, alleges that as a representative of Hilltop Securities, he made excessive trades and generated excessive transactions in connection with corporate bonds, mutual funds, and other investments. The pending complaint alleges unspecified damages.

An earlier investor complaint, filed in 2019, alleged that as a representative of Hilltop Securities, he traded without authorization. The complaint alleged damages of $95,000 and was denied by the firm.

Hilltop Securities’ website includes a page in which Mr. Brean describes his approach to working with his clients. “As your financial advisor, I go beyond one-off investments and helping you save for retirement,” he explains. “My goal is to serve as an advocate who can help you plan for the long-term. I do this by leveraging in-depth market knowledge and years of providing comprehensive, experience-based advice.”

According to the Financial Industry Regulatory Authority, Parker Brean holds 16 years of securities industry experience. Based in San Diego, California, he has been registered as a broker and an investment advisor with Hilltop Securities since 2008 and 2011, respectively. He was previously registered with ML Stern & Company in San Diego from April until December 2008. His credentials include the passage of five securities industry qualifying exams: the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He holds 61 state licenses. (Information current as of June 9, 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.

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