CHARLES STEVEN ROBERTS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 133 GRAND OAKS LANE, SAINT SIMONS ISLAND, GA, 31522.
CHARLES STEVEN ROBERTS has worked at LPL FINANCIAL LLC since February 14, 2018
Disclosure History
CHARLES STEVEN ROBERTS has 1 Disclosure Event(s).
Date: January 07, 2009 Category: Customer Dispute Allegations: [CUSTOMER] PURCHASED THE AIG SUNAMERICA POLARIS II ANNUITY IN SEPT 2008. CLIENT ALLEGES THAT REP MISLEAD HER TO BELIEVE THAT HER INITIAL INVESTMENT WAS AT NO RISK AND WAS GUARANTEED TO DOUBLE IN 10 YEARS. CLIENT WANTS TO BE MADE WHOLE FOR DROP IN ACCOUNT VALUE. Damage Amount Requested: $5,000.00 Settlement Amount: $16,127.38 Broker Comment: I WAS INFORMED BY AN AMENDED U5 FROM EDWARD JONES THAT THEY HAD SETTLED THE CUSTOMER COMPLAINT WITH [CUSTOMER] OF HER PURCHASE OF THE AIG ANNUTIY. I WAS NOT INFORMED WHY THEY SETTLED AND I PERSONALLY DISAGREE WITH "MAKING HER WHOLE". SHE UNDERSTOOD THE RISK WHEN SHE PURCHASED THE ANNUITY. IT WAS NOT PURCHASED TO GROW HER CASH VALUE, EVEN THOUGH THAT IS A POSSIBILITY, BUT IT WAS PURCHASED TO DOUBLE THE INCOME STREAM OF THE MONEY INVESTED AFTER A TEN YEAR PERIOD OF TIME. THAT FACT HASN'T CHANGED.
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 CHARLES STEVEN ROBERTS, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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 Removal
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.