Former SunTrust Advisor Involved in Complaint over Northstar Financial

by Admin Istrator | November 24, 2021 6:13 pm

Stephen Berrocal (CRD #: 3071400), a broker registered with Truist Investment Services, is involved in multiple disputes concerning Northstar, according to his BrokerCheck record[1], accessed on November 24, 2021.  

Northstar Financial Services (Bermuda) Ltd.

According to FINRA, investors filed various complaints involving the suitability of Northstar Financial Services (Bermuda) Ltd. FINRA defines “suitable” investments as investments that fit an investor’s profile. Investor profiles include factors like age, risk tolerance, and financial goals. Here is a summary of the complaints:

Stephen Berrocal Previously Registered with SunTrust

Stephen Berrocal has passed the Series 66 Uniform Combined State Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 6 Investment Company Products / Variable Contracts Representative Examination. He is a registered broker in eight states and a registered investment adviser in Florida.

Stephen Berrocal has worked for the following firms:

Did You Lose Money with Stephen Berrocal or Northstar?

  1. BrokerCheck record:

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