CAREY ANN DADIO

CAREY ANN DADIO is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 5 HELEN STREET, HAMDEN, CT, 06514.

CAREY ANN DADIO has worked at LPL FINANCIAL LLC since June 01, 2017

Disclosure History

CAREY ANN DADIO has 3 Disclosure Event(s).

Date: March 10, 2017
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: August 05, 2015
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 02, 2013
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

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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