DAVID THEODORE MARTIN

DAVID THEODORE MARTIN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 10955 LOWELL STE 900 and 910, OVERLAND PARK, KS, 66210.

DAVID THEODORE MARTIN has worked at CETERA ADVISORS LLC since July 08, 2011

Disclosure History

DAVID THEODORE MARTIN has 1 Disclosure Event(s).

Date: April 17, 2017
Category: Customer Dispute
Allegations: Breach of fiduciary duty, Kansas securities regulation violations, negligence, and misrepresentation.
Damage Amount Requested: $134,596.65
Broker Comment: Claimants were aware of the risks associated with their investments, which were purchased after client meetings, telephone discussions and email correspondence. Claimants were permitted to make the investments only after they had reviewed and executed paperwork which further detailed the risks of the investments, which were on Cetera Advisors' approved product list. The composition of the portfolio was within Claimants' stated risk tolerance and was suitable for their investment objectives.

More Information

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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.

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