DANIEL W TIDD is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 5 MAXWELL DRIVE, SUITE 100, CLIFTON PARK, NY, 12065.
DANIEL W TIDD has worked at AXA ADVISORS, LLC since August 07, 1996
Disclosure History
DANIEL W TIDD has 1 Disclosure Event(s).
Date: March 02, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE WAS MISLED REGARDING THE TRANSFER OF EXISTING MUTUAL FUNDS INTO A NEW BROKERAGE ACCOUNT. CLIENT FURTHER ALLEGES SHE WAS NOT INFORMED OF THE EXPENSES RELATED TO THE TRANSFER OF CD'S INTO A 2001 ISSUE VARIABLE ANNUITY CONTRACT. CLIENT REQUESTED THE CANCELLATION OF ALL TRANSFERS INVOLVING HER ACCOUNTS. DAMAGES ARE UNSPECIFIED. Settlement Amount: $818.61 Broker Comment: EQUITABLE FOUND NO BASIS TO THE CUSTOMER COMPLAINT. HOWEVER, AS A GOOD FAITH GESTURE, EQUITABLE AGREED TO REFUND THE CHARGES INCURRED. THE REFUND AMOUNT IS $818.61.
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 DANIEL W TIDD, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.