DIANE CAROL ZING

DIANE CAROL ZING is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 101 University Blvd, Suite 450, Denver, CO, 80206.

DIANE CAROL ZING has worked at LPL FINANCIAL LLC since November 29, 2017

Disclosure History

DIANE CAROL ZING has 1 Disclosure Event(s).

Date: July 13, 2010
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES VARIABLE ANNUITY INVESTMENT IS UNSUITABLE FOR INVESTMENT OBJECTIVES.
Damage Amount Requested: $27,561.16
Broker Comment: RECOMMENDATION SUITABLE. MULTIPLE INVESTMENT CHOICES GIVEN. CLIENT MADE EDUCATED DECISION & MULTIPLE DEPOSITS OVER LONG TERM.

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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