ANDREW JOSEPH WHALEN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1481 W WARM SPRINGS RD STE 140, HENDERSON, NV, 89014.

ANDREW JOSEPH WHALEN has worked at LPL FINANCIAL LLC since November 29, 2017

Disclosure History

ANDREW JOSEPH WHALEN has 1 Disclosure Event(s).

Date: August 30, 2016
Category: Customer Dispute
Allegations: Claimant alleges failure to follow instructions and poor advice
Damage Amount Requested: $7,839.00

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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