DAVID ALAN BAUCOM is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1036 BRANCHVIEW DR STE 206, CONCORD, NC, 28025-0113.
DAVID ALAN BAUCOM has worked at LPL FINANCIAL LLC since August 15, 2007
Disclosure History
DAVID ALAN BAUCOM has 2 Disclosure Event(s).
Date: September 12, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: FIRM HAS MADE A REASONABLE DETERMINATION THIS IS A REPORTABLE EVENT
Date: September 12, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: FIRM HAS MADE A REASONABLE DETERMINATION THIS IS A REPORTABLE EVENT
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