Jennifer Scroggins (CRD #: 2343868), an investment adviser and broker registered with Royal Alliance Associates, is involved in a dispute with an investor who alleges misrepresentation, according to her BrokerCheck record, accessed on January 20, 2021. Scroggins is an investment adviser in San Antonio, Texas.
On December 11, 2020, an investor alleged that Jennifer Scroggins made misrepresentations regarding the sale of variable annuities. Variable annuities are complex products that can come with unforeseen costs. The client is seeking $5,000; the dispute is pending.
On July 2, 2009, Jennifer Scroggins was fired from MML Investors following allegations that she violated agency compliance procedures.
On April 20, 2009, an investor alleged that Scroggins failed to communicate the constraints of holding periods that pertain to variable annuities.
Jennifer Scroggins has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, Securities Industry Essentials Examination, Series 7 General Securities Representative Examination, and the Series 6 Investment Company Products / Variable Contracts Representative Examination, and the Series 24 General Securities Principal Examination. She is a registered broker in California, Colorado, Florida, Georgia, Kentucky, Louisiana, New Mexico, Texas, Virginia, and Washington.
Jennifer Scroggins has worked in the securities industry for 25 years. During that time, she has worked at the following firms:
- Signator Investors (CRD #: 468)
- Riverstone Wealth Management (CRD #: 40418)
- KCM & Associates (CRD #: 114309)
- MML Investors Services (CRD #: 10409)
- Compass Brokerage (CRD #: 17086)
- Capital Brokerage Corporation (CRD #: 10465)
- Essex National Securities (CRD #: 25454)
If Jennifer Scroggins was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.