ART F CARDENAS

ART F CARDENAS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 11810 SEBASTIAN WAY STE 105, RANCHO CUCAMONGA, CA, 91730-0706.

ART F CARDENAS has worked at LPL FINANCIAL LLC since May 09, 2011

Disclosure History

ART F CARDENAS has 1 Disclosure Event(s).

Date: July 04, 2003
Category: Criminal
Charges: FALSELY IDENTIFYING ONESELF TO A PEACE OFFICER, 1. 1 COUNT 2. MISDEMEANOR 3. GUILTY Charge Type: MISDEMEANOR
Disposition: A. PLED GUILTY B. 09/10/2003 C. FINE PLUS PENALTY ASSESSMENTS D. NONE E. NONE F. $100.00 G. PAYMENT STAYED TILL 12/10/2003
Broker Comment: I WAS AT MY VACATION BEACH HOUSE DURING A BUSY 4TH OF JULY IN NEWPORT BEACH, CA. THE VACATION HOUSE GOT TO BE VERY CROWDED BY A LOT OF UNINVITED STRAGGLERS. THE POLICE CAME TO MY RESIDENCE AND ASKED FOR MY NAME AND IDENTIFICATION. I REPLIED AS FRANK CARDENAS TO THE OFFICER WHILE REACHING FOR MY DRIVERS LICENSE. I GAVE THE OFFICER MY LICENSE AND THE OFFICER ASKED WHY I GAVE HIM MY MIDDLE NAME AND NOT MY FIRST NAME. HE SAID I GAVE HIM FALSE INFORMATION AND ARRESTED ME THERE ON THE SPOT.

More Information

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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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