ANDREW KARSTAD HENRICKSON

ANDREW KARSTAD HENRICKSON is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 1301 A STREET MS 6230, TACOMA, WA, 98402.

ANDREW KARSTAD HENRICKSON has worked at CETERA INVESTMENT SERVICES LLC since January 30, 2009

Disclosure History

ANDREW KARSTAD HENRICKSON has 2 Disclosure Event(s).

Date: November 21, 2008
Category: Customer Dispute
Allegations: CLIENT'S ATTORNEY ALLEGED NEGLIGENT MISREPRESENTATION WITH RESPECT TO INITIATING THE RESET OF THE GUARANTEED MINIMUM WITHDRAWAL BENEFIT ON CLIENT'S ANNUITY 08/2008.
Damage Amount Requested: $83,546.81

Date: November 13, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGED MANAGED ACCOUNT WAS UNSUITABLE.MAY 2001-APRIL 2002.DAMAGES UNSPECIFIED
Broker Comment: CLAIM DENIED.

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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