CHARLA CYNTHIA KABANA is currently employed as a Broker and/or Investment Adviser at SAGEPOINT FINANCIAL, INC. located at 2124 MAIN STREET, SUITE 140, HUNTINGTON BEACH, CA, 92648.
CHARLA CYNTHIA KABANA has worked at SAGEPOINT FINANCIAL, INC. since August 25, 2016
Disclosure History
CHARLA CYNTHIA KABANA has 6 Disclosure Event(s).
Date: July 11, 2016 Category: Employment Separation After Allegations Firm Name: LPL Financial LLC Termination Type: Discharged Allegations: Concerns regarding the Representative's practices in respect to variable annuity business and related responses to Compliance.
Date: February 19, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: February 18, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: November 07, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: COMPROMISED FOR PRICIPAL AMOUNT OWED BUT NOT FOR ACCUMULATED INTEREST
Date: August 30, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: May 31, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
More Information
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