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Read MoreHarold Puhl: $100K Complaint Against Cetera Advisor
Leander, Texas financial advisor Harold Puhl (CRD# 1045552) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Investment Services and an advisor with Cetera Investment Advisers.
Mr. Puhl’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in May 2024, alleges that as a representative of Cetera Advisor Networks, he recommended unsuitable real estate investments. The pending complaint alleges damages of $100,000.
An earlier investor complaint, filed in 2001, alleged that as a representative of Carr-Friesenhahn & Company, he mishandled the customer’s account. The complaint reached a settlement of $250,000.
A third investor complaint, filed in 1988, alleged that as a representative of Rauscher Pierce Refsnes, he made unsuitable and excessive trades and failed to repay a loan. The complaint reached a settlement of $50,000.
According to the Financial Industry Regulatory Authority, Harold Puhl holds 42 years of securities industry experience. Based in Leander, Texas, he has been registered as a broker with Cetera Investment Services since 2002 and an advisor with Cetera Investment Advisers since 2023. His past registrations include Cetera Advisor Networks, Carr-Freisenhahn & Company, Arnseon Kerchevile and Associates, Merrill Lynch, and Rauscher Pierce Refsnes. His credentials include the passage of four 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; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Texas and Virginia. (Information current as of August 31, 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.
