BRIAN SCOTT SIMMONS

BRIAN SCOTT SIMMONS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 11001 W BROAD STREET, GLEN ALLEN, VA, 23060.

BRIAN SCOTT SIMMONS has worked at LPL FINANCIAL LLC since December 17, 2014

Disclosure History

BRIAN SCOTT SIMMONS has 1 Disclosure Event(s).

Date: March 25, 2009
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT THE RR MISLED THE CLIENT AT THE TIME OF THE ANNUITY SALE AND THAT RR FAILED TO RETURN PHONE CALLS IN A TIMELY MANNER AND AS A RESULT CUSTOMER SUSTAINED LOSSES
Damage Amount Requested: $49,220.44

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.

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