CHRISTOPHER JOHN BIRMINGHAM is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3050 Sienna Dr S Suite 100, Fargo, ND, 58104.
CHRISTOPHER JOHN BIRMINGHAM has worked at LPL FINANCIAL LLC since November 29, 2017
Disclosure History
CHRISTOPHER JOHN BIRMINGHAM has 3 Disclosure Event(s).
Date: January 24, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES FA FAILED TO INSTITUTE STOP LOSS OR LIMIT ORDERS ON HIS STOCK PORTFOLIO. Damage Amount Requested: $17,537.00 Broker Comment: THIS CUSTOMER COMPLAINT IS NO LONGER REPORTABLE. THIS COMPLAINT HAS TOTALLY NO MERIT.
Date: September 09, 2000 Category: Regulatory
Date: May 26, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABILITY OF RECOMMENDATION TO TERMINATE HER VARIABLE ANNUITY WITH HARTFORD IN 1998. Damage Amount Requested: $11,425.00 Settlement Amount: $13,250.00 Broker Comment: I STARTED THE ACCOUNT WITH [CUSTOMER] ABOUT 7 1/2 YEARS AGO. SHE WAS RECEIVING QUARTERLY CHECK FROMAN ANUITY. SHE HAD PURCHASED. SHE HAD REPEATEDLY EXPRESSEDCONCERN ON THE STABILITY OF HER INVESTMENT SINCE IT HAD RANOVER 30% HER INITIAL INVESTMENT. SHE ALSO WAS DESIRING MOREINCOME. I SUGGESTED SELLING HER ANNUITY TO LOCK HER LINS IN HER INVESTMENT. I GET A HIGHER INCOME STREAM. BUY AMORE STABLE,SECURE INVESTMENT.
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