BRIAN SCOTT SMITH

BRIAN SCOTT SMITH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3544 CROW CREEK ROAD, DAVENPORT, IA, 52807.

BRIAN SCOTT SMITH has worked at LPL FINANCIAL LLC since March 30, 2015

Disclosure History

BRIAN SCOTT SMITH has 1 Disclosure Event(s).

Date: November 19, 2008
Category: Customer Dispute
Allegations: POA FOR CUSTOMER ALLEGES MUTUAL FUND RECOMMENDATION IN 2005 WAS NOT APPROPRIATE AND REPRESENTATIVE DID NOT ACT IN BEST INTERESTS OF CUSTOMER.
Broker Comment: GOOD FAITH DETERMINATION ESTIMATES DAMAGE AMOUNT TO EXCEED $5000. AFTER REVIEW OF THE FACTS AND CIRCUMSTANCES SURROUNDING THE COMPLAINT THE FIRM FOUND THE COMPLAINT TO BE WITHOUT MERIT.

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.

To view the full report for BRIAN SCOTT SMITH, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.