CHRISTOPHER JON DAVIS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7050 N FRESNO ST STE 105, FRESNO, CA, 93720-2975.
CHRISTOPHER JON DAVIS has worked at LPL FINANCIAL LLC since April 26, 2010
Disclosure History
CHRISTOPHER JON DAVIS has 2 Disclosure Event(s).
Date: May 13, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS. Damage Amount Requested: $91,400.00
Date: December 06, 1995 Category: Regulatory Initiated By: STATE OF CALIFORNIA DEPARTMENT OF REALESTATE ROUTINE AUDIT Allegations: A ROUTINE AUDIT OF IMPERIAL CREDIT INDUSTRIESIDENTIFIED VIOLATIONS OF SEVERAL ADMINISTRATIVE REGULATIONS OFTHE DEPARTMENT OF REAL ESTATE INCLUDING FAILURE TO OBTAIN ABRANCH LICENSE FOR A NEW BRANCH OF THE COMPANY AND NOT HAVINGMY NAME ON THE SIGNATURE CARDS OF THE TRUST ACCOUNTS, I WASCHARGED BECAUSE I WAS BROKER OF RECORD FOR THE COMPANY. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Suspension SanctionDetails:Registration Capacities Affected: SUSPENSION OF CA REAL ESTATE BROKERS LICENSE Duration: 60 DAYS STAYED SUSPENSION Start Date: 10/1/1996 End Date: 10/1/1997 Broker Comment: THESE VIOLATIONS WERE OF TECHNICAL ADMINISTRATIVESECTIONS OF THE CALIFORNIA DEPARTMENT OF REAL ESTATEREGULATIONS. NO IMPROPRIETY OF CLIENT TRANSACTIONS TOOK PLACE.
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