COURTNEY DANIELLE STROOPE is currently employed as a Broker and/or Investment Adviser at LOCKTON FINANCIAL ADVISORS, LLC located at 2100 ROSS AVENUE, SUITE 1200, DALLAS, TX, 75201.
COURTNEY DANIELLE STROOPE has worked at LOCKTON FINANCIAL ADVISORS, LLC since October 09, 2012
Disclosure History
COURTNEY DANIELLE STROOPE has 1 Disclosure Event(s).
Date: December 22, 2005 Category: Employment Separation After Allegations Firm Name: WORLD CHOICE SECURITIES, INC. Termination Type: Discharged Allegations: REPRESENTATIVE BECAME DUALLY REGISTERED WITH ANOTHER BROKERDEALER WHILE STILL REGISTERED WITH WORLD CHOICE. VIOLATED COMPANY POLICY AND HER EMPLOYMENT CONTRACT. Broker Comment: AT TIME OF AFFILIATION WITH AIG FINANICAL ADVISORS, INC. (AIGFA) A COPY OF MY TERMINATION LETTER TO WORLD CHOICE WAS PROVIDED TO AIGFA. UPON RECEIPT OF THIS LETTER FORM U4 WAS SUBMITTED BY AIGFA AS "RE-LICENSE BD" PLACING WORLD CHOICE ON NOTICE THAT I WAS TERMINATING AND REAFFLIATING WITH ANOTHER BROKER-DEALER THEREBY TRIGGERING WORLD CHOICE'S OBLIGATION AND RESPONSIBILITY TO FILE FORM U5. THE U4 FILING AUTOMATICALLY ALERTED WORLD CHOICE BY POPULATING ITS U5 REQUIRED QUEUE. THE U4 FILING WAS NOT AND IS NOT A DUAL REGISTRATION FILING, THUS, WORLD CHOICE'S DISCLOSURE THAT I WAS DUALLY REGISTERED IN VIOLATION OF THEIR POLICIES AND PROCEDURES IS INCORRECT.
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