Search for: "LPL FINANCIAL LLC"
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12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph… [read post]
30 Jun 2020, 7:48 am
According to BrokerCheck, Talebi then worked for Independent Financial Group, LLC, of Sherman Oaks, CA. [read post]
2 Feb 2021, 9:18 am
LPL Financial, LLC (FINRA AWC 2018059192701) (Dec. 31, 2020). [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
6 Feb 2018, 7:30 am
David Arthur Wismer III LPL Financial LLC American Express Financial Advisors Inc. [read post]
10 Mar 2021, 1:44 pm
Warner has recently been associated with the following financial institutions: Chelsea Financial Services (2017 – 2019), Dominion Investor Services, Inc (2017), IFS Securities (2014 – 2017), NFP Advisor Services, LLC (2013 – 2014), and LPL Financial, LLC (2003 – 2013). [read post]
23 Jan 2018, 7:14 am
Lott has been in the securities industry for over 30 years and was previously registered with Copeland Equities Inc., Sunamerica Securities, Inc., AIG Financial Advisors, Inc., LPL Financial LLC, and Girard Securities, Inc. [read post]
19 Oct 2016, 6:58 am
According to FINRA BrokerCHeck, Tauzin was registered with LPL Financial, LLC in Lafayette, LA from 09/2009 – 11/2014. [read post]
24 Jul 2023, 10:51 am
According to her FINRA broker report, Lynn Bryant was reportedly affiliated with the following firms during her career, among others: B , 10/24/2007 – 10/07/2022 , LPL FINANCIAL LLC (CRD#:6413) , HURST, TX B , 07/14/2000 – 10/25/2007 , RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
23 Jul 2014, 5:55 am
From 1999 through December 2012, Talebi was associated with LPL Financial LLC (LPL Financial). [read post]
9 Nov 2021, 7:18 am
(CRD#:39543), Moorestown, NJ07/11/2018 – 07/31/2018, LPL FINANCIAL LLC (CRD#:6413), MOORESTOWN, NJ01/25/2010 – 08/21/2019, SAGEPOINT FINANCIAL, INC. [read post]
11 Jan 2019, 7:56 am
Mark Dickman also allegedly engaged in non-disclosure of beneficiary status within client trust, in violation of LPL Financial LLC’s policy, according to a second Employment Separation Complaint filed on December 20, 2018 by LPL Financial LLC, Dickman’s FINRA BrokerCheck Report notes. [read post]
8 May 2020, 9:47 am
Morgan Securities LLC Chase Investment Services Corp David Del Rio LPL Financial LLC Suntrust Investment Services, Inc. [read post]
20 Nov 2020, 7:45 am
Nelson Polun Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Inc Adam Schachter LPL Financial LLC Wells Fargo Clearing Services, LLC Paul Steffany Moors & Cabot, Inc. [read post]
22 Sep 2022, 8:41 am
Morgan Securities LLC Michael Beebe LPL Financial LLC Nationwide Securities, LLC LeRoy Cantley Salvatore Carollo Allstate Financial Services, LLC Kevin Garasky Pruco Securities, LLC Bankers Life Securities, Inc. [read post]
14 Jul 2016, 7:16 am
LPL is a broker-dealer, meaning it holds accounts and assets and executes financial transactions. [read post]
7 Dec 2019, 5:29 am
In November 2018 Watkins’ then employer, LPL Financial LLC (LPL Financial), discharged Watkins claiming that he facilitated the distribution of advisory fee monies to an unregistered person. [read post]
23 Dec 2019, 1:40 pm
Intersecurities, Inc Murray, Robert SW Financial Joseph Stone Capital LLC Stokes, Dain LPL Financial LLC Edward Jones Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo… [read post]
12 Feb 2016, 10:15 am
In November 2015, Kuchel’s then brokerage firm LPL Financial LLC (LPL) terminated Kuchel for cause for failing to appear for an interview with FINRA. [read post]
