DUSTIN ANTHONY MIKKELSEN is currently employed as a Broker and/or Investment Adviser at EQUITY SERVICES, INC. located at 1900 YORKTOWN STREET, #434, HOUSTON, TX, 77056.
DUSTIN ANTHONY MIKKELSEN has worked at EQUITY SERVICES, INC. since July 14, 2015
Disclosure History
DUSTIN ANTHONY MIKKELSEN has 5 Disclosure Event(s).
Date: July 12, 2013 Category: Financial Type: Bankruptcy Disposition: Discharged
Date: June 19, 2007 Category: Employment Separation After Allegations Firm Name: NFP SECURITIES, INC. Termination Type: Voluntary Resignation Allegations: REVIEW OF SALES PRACTICES REGARDING ANNUITIES Broker Comment: THE INTERNAL REVIEW WAS INCONCLUSIVE.
Date: May 28, 2007 Category: Customer Dispute Allegations: CUSTOMER ALLEGED VARIOUS MISREPRESENTATIONS IN CONJUNCTION WITH THE SALE OF EQUITY INDEX ANNUITIES Damage Amount Requested: $15,000.00
Date: February 07, 2007 Category: Customer Dispute Allegations: CUSTOMER ALLEGED VARIOUS MISREPRESENTATIONS IN CONJUNCTION WITH THE SALE OF EQUITY INDEX ANNUITIES AND A VARIABLE ANNUITY Damage Amount Requested: $40,352.00
Date: July 19, 1999 Category: Employment Separation After Allegations Firm Name: A. G. EDWARDS & SONS, INC. Termination Type: Discharged Allegations: MR. MIKKELSON WAS DISCHARGED FOR FAILURE TO FOLLOW FIRM PROCEDURES AND INDUSTRY RULES. Broker Comment: CLIENT AND BROKER HAD A MISUNDERSTANDING ABOUT THE CLIENT'S INVESTMENT OBJECTIVES. A. G. EDWARDS & SONS, INC. FELT THAT MR. MIKKELSEN FAILED TO FOLLOW FIRM PROCEDURES.
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