DALE GERARD HUBER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3964 S. Old Highway 94, Saint Charles, MO, 63304.
DALE GERARD HUBER has worked at LPL FINANCIAL LLC since July 11, 2017
Disclosure History
DALE GERARD HUBER has 1 Disclosure Event(s).
Date: July 18, 2001 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS,INC. Allegations: NASD RULES 1120 AND 2110: HUBER PERFORMED DUTIES AS A REGISTERED PERSON WHILE HIS REGISTRATION STATUS WAS INACTIVE DUE TO HIS FAILURE TO TIMELY COMPLETE THE REGULATORY ELEMENT OF NASD'S CONTINUING EDUCATION RULE. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $1,000.00 Sanction Details: WITHOUT ADMITTING OR DENYING THE FINDINGS, HUBER CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS FINED $1,000.
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