ALICE ANHEUSER MACH

ALICE ANHEUSER MACH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3 CITYPLACE DR STE 290, ST. LOUIS, MO, 63141.

ALICE ANHEUSER MACH has worked at LPL FINANCIAL LLC since February 02, 2018

Disclosure History

ALICE ANHEUSER MACH has 2 Disclosure Event(s).

Date: June 18, 2010
Category: Financial
Type: Bankruptcy
Disposition: Discharged
Broker Comment: PERSONAL BANKRUPTCY DUE TO DIVORCE.

Date: November 10, 2003
Category: Customer Dispute
Allegations: CLIENTS FELL THEY WERE MISGUIDED AND TAKEN ADVANTAGE OF AND ALLEGE THAT DUE TO INAPPROPRIATE ADVISE FROM THE REP, THEY LOST $70,000.
Damage Amount Requested: $70,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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