2023078427601 Surage Kamal Roshan Perera CRD 4716321 AWC vr (2023-1691281204224).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078427601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Surage Kamal Roshan Perera (Respondent) Former General Securities Principal, Former General Securities Representative CRD No. 4716321 Pursuant to FINRA Rule 9216, Respondent Surage Kamal Roshan Perera submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

AA

Affirming Advisor (AA)

Designation Essentials
Status Currently offered and recognized by the issuing organization.
Issuing Organization Financial Psychology Institute
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Online, asynchronous training modules
Designation Exam Type

Online, non-proctored quizzes
Continuing Education Requirements

One CE credit annually
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

Submit complaints via email to [email protected].
Published List of Disciplined Designees

None

2022074784201 Brad Michael Jacobson CRD 4859099 AWC gg (2023-1691194803506).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074784201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brad Michael Jacobson (Respondent) Former General Securities Representative CRD No. 4859099 Pursuant to FINRA Rule 9216, Respondent Brad Michael Jacobson (Jacobson) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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