DAVID GABRIEL TORRES-ONISTO is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 41-C NEW LONDON TURNPIKE, GLASTONBURY, CT, 06033.
DAVID GABRIEL TORRES-ONISTO has worked at LPL FINANCIAL LLC since October 24, 2014
Disclosure History
DAVID GABRIEL TORRES-ONISTO has 2 Disclosure Event(s).
Date: August 11, 2009 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THE ADVISOR MISREPRESENTED THE FINANCIAL PLANNING SERVICES AND REIT HE WAS SOLD IN AUGUST 2008. Damage Amount Requested: $9,293.22 Broker Comment: THE FIRM FOUND THE FEATURES AND RISKS OF THE FINANCIAL PLAN AND REIT WERE PROPERLY DISCLOSED.
Date: June 18, 2008 Category: Customer Dispute Allegations: THE CLIENT'S ATTORNEY ALLEGED THE ADVISOR MISMANAGED THE CLIENT'S ACCOUNTS STARTING IN FEBRUARY 2007,RESULTING IN UNNECCESSARY TAXES AND FEES. Damage Amount Requested: $5,000.00 Broker Comment: THE FIRM FOUND THE ADVISOR PROVIDED APPROPRIATE RECOMMENDATIONS FOR THE CLIENT'S GOALS AND OBJECTIVES, AND PROVIDED THE CLIENT DISCLOSURE TO CONSULT WITH A TAX ADVISOR REGARDING HOW THE ADVISOR'S INVESTMENT RECOMMENDATIONS WOULD AFFECT THE CLIENT'S TAX SITUATION.
More Information
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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