DERRICK STANLEY CASEY

DERRICK STANLEY CASEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1100 DEXTER AVE N, SUITE 100, SEATTLE, WA, 98119.

DERRICK STANLEY CASEY has worked at LPL FINANCIAL LLC since August 23, 2012

Disclosure History

DERRICK STANLEY CASEY has 1 Disclosure Event(s).

Date: April 11, 2000
Category: Criminal
Charges: ONE COUNT - FELONY CRIMINAL MISCHIEF IN THE FIRST DEGREE - NO PLEAONE COUNT - MISDEMEANOR CRIMINAL MISCHIEF IN THE SECOND DEGREE - PLEAD GUILTYONE COUNT - MISDEMEANOR DUI - NO PLEA Charge Type: FELONY
Disposition: FELONY CHARGE WAS DISMISSED ON 11/20/00. MISDEMEANOR CRIMINAL MISCHIEF WAS DISMISSED ON 6/8/01. MISDEMEANOR DUI WAS DISMISSED ON 5/16/01. HAD TO COMPLETE 20 HRS COMMUNITY SERVICE & PAY RESTITUTION IN THE AMOUNT OF $85 WHICH WAS COMPLETE ON 6/8/01. I ALSO ATTENDED A DUII DIVERSION PROGRAM WHICH WAS COMPLETED ON 5/16/01.

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 DERRICK STANLEY CASEY, click here.

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