DAVID WATTERS GRAHAM is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 5362 GREENWOOD PLAZA BLVD, GREENWOOD VILLAGE, CO, 80111.
DAVID WATTERS GRAHAM has worked at LPL FINANCIAL LLC since November 01, 2016
Disclosure History
DAVID WATTERS GRAHAM has 2 Disclosure Event(s).
Date: April 30, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES IN AN EMAIL TO THE RR ON 12/9/2010 THAT HE HAD FAILED TO RESPOND APPROPRIATELY TO HER CONCERNS ABOUT THE 5/5/2010 LINCOLN NATIONAL VARIABLE ANNUITY PURCHASED IN THE AMOUNT OF $99K. Damage Amount Requested: $5,967.06 Settlement Amount: $5,967.06
Date: June 05, 1997 Category: Criminal Charges: Unlawful Possession of a Fraudulent Identification Card Disposition: Pled guilty
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