DAVID GABRIEL TORRES-ONISTO

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

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 DAVID GABRIEL TORRES-ONISTO, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.