BRADLEY BRIAN LEDWITH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 55 WEST FIRST STREET, MORGAN HILL, CA, 95037.
BRADLEY BRIAN LEDWITH has worked at LPL FINANCIAL LLC since February 10, 2006
BRADLEY BRIAN LEDWITH has 2 Disclosure Event(s).
Date: January 10, 2006 Category: Employment Separation After Allegations Firm Name: EDWARD JONES Termination Type: Discharged Allegations: EMPLOYMENT WAS TERMINATED AFTER FIRM DETERMINED I MISUSED THE FIRMS BUSINESS EXPENSE PLAN, THROUGH THE SUBMISSION OF QUESTIONABLE ADVERTISING EXPENSES AND THAT I WAS NOT FORTHCOMING DURING THE COMPLIANCE INVESTIGATION Broker Comment: THIS MATTER DID NOT INVOLVE SECURITIES OR CLIENTS, AT ISSUE WAS THE FIRM'S BUSINESS EXPENSE PLAN, WHILE EDWARD JONES TOOK EXCEPTION TO CERTAIN EXPENSES ALL SUCH EXPENSES WERE ACTUALLY ENCURRED & THE FIRM'S COMPLIANCE DEPARTMENT HAD NEVER QUESTIONED THEM IN THE PAST.
Date: June 19, 1990 Category: Criminal Charges: COUNT 1 FELONY MAKING FAKE IDS (DISMISSED)COUNT 2 MISDEMEANOR POSSESSION OF A FAKE ID Charge Type: FELONY Disposition: COUNT 1 FELONY MAKING FAKE IDS DISMISSED. COUNT2 MISDEMEANOR POSSESSION OF FAKE ID - PLEAD NO CONTEST FINED$500 PROBATION MODIFIED; DID 100 HOURS COMMUNITY SERVICE WITHIN180 DAYS. Broker Comment: THIS OCCURRED DURING FRESHMAN YR OF COLLEGE. MYROOMMATE WAS MAKING FAKE IDS. HE WAS ARRESTED & SINCE I WASHIS ROOMMATE THE POLICE ARRESTED ME AS WELL. WE WERE BOTHEVENTUALLY ONLY CHARGED TO MISDEMEANOR POSSESSION OF A FAKE ID. IT WAS EIGHT YEARS AGO & IT WAS A LESSON LEARNED.
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.
To view the full report for BRADLEY BRIAN LEDWITH, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More