Close Menu
Free Consultation: 888-976-6111

Robert Nevarez: Investor Complaint Against Nevarez Wealth Advisor

Irvine, California financial advisor Robert Nevarez (CRD# 4039930) allegedly recommended an unsuitable investment, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, doing business as Nevarez Wealth Management. 

Mr. Nevarez’s BrokerCheck report discloses one investor complaint against him. Filed in July 2021, it alleges that as a representative of National Securities Corporation, he recommended an unsuitable investment in a real estate securities product. The pending complaint alleges damages of $65,000.

According to the Financial Industry Regulatory Authority, Robert Nevarez holds 21 years of securities industry experience. Based in Irvine, California, he has been a broker and an investment advisor with Dempsey Lord Smith since 2017, doing business as Nevarez Wealth Management. His past registrations include National Securities Corporation (Redondo Beach, California; 2009-2017), LPL Financial Corporation (Long Beach, California; 2008-2009), AIG Financial Advisors (Torrance, California; 2005-2008), SunAmerica Securities (Phoenix, Arizona; 2004-2005), Edward Jones (St. Louis, Missouri; 2003-2004), World Group Securities (Duluth, Georgia; 2002), and WMA Securities (Duluth, Georgia; 2000-2002). He has passed seven securities industry qualifying examinations: the General Securities Principal Examination, or Series 24; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; 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. He is licensed in Arizona, California, Colorado, Idaho, Michigan, New York, and Oklahoma. (Information current as of August 16, 2022.)

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
  • James Good: ETF Investigation Against ProEquities Advisor

    A pending state regulatory action against Camp Hill, Pennsylvania financial advisor James Good (CRD# 2466989) concerns investments in leveraged and...

    Read More
  • Natalie Fernandez Lee: Did Meridian Advisor Recommend L Bonds?

    At least 12 current or former clients of Meridian Wealth Management advisor Natalie Fernandez Lee (CRD# 3176265) are listed as...

    Read More
  • Sonny Thapar: Bond Complaint Against TFS Securities Advisor

    At least one former customer of TFS Securities advisor Sonny Thapar (CRD# 2699306) is listed as a creditor for a...

    Read More
  • B. Riley Advisor Cary Levine: Clients Invested $700+ in GWG

    Records filed with a US bankruptcy court show that at least seven current or former clients of B. Riley Wealth...

    Read More
  • Previous
  • Next