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Detailed Report
TURKER ERGUN
TURK ERGUN
CRD#: 4347758
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200720082009201020112012201320142015IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2012 (2 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2008 - 2009 (<1 year)IAWAMU INVESTMENTS, INC. (CRD# 599)2007 - 2008 (1 year)
Disclosure(s)
View By:
10/22/2014
Regulatory
Final
5/8/2013
Regulatory
Final
Previous Registration(s)
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 10/23/2009 - 09/19/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
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 12/09/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ORANGE, CA
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 08/10/2007 - 12/10/2008 WAMU INVESTMENTS, INC. (CRD#:599) YORBA LINDA, CA
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.