FRANCIS ALBERT BAUTZ is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 8198 JOG ROAD, SUITE 205, BOYNTON BEACH, FL, 33472.
FRANCIS ALBERT BAUTZ has worked at LPL FINANCIAL LLC since July 29, 2009
Disclosure History
FRANCIS ALBERT BAUTZ has 2 Disclosure Event(s).
Date: April 21, 2009 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES SHE WAS UNAWARE OF THE SURRENDER PENALTIES AND ANNUAL FEES ON VARIABLE ANNUITY CONTRACTS AND A REIT PURCHASED JUNE AND JULY 2008. Broker Comment: THE CLIENT HIRED AN INDIVIDUAL TO PREPARE HER TAXES ON APRIL 14, 2009. THIS INDIVIDUAL ADVERTISES VERY LOW OR NO FEE TO DO TAX RETURNS, YET AS A CORE BUSINESS, SELLS INDEX ANNUITIES. THE CLIENT EXPLAINED THAT THIS INDIVIDUAL INSTRUCTED HER TO WRITE THE COMPLAINT AND EVEN GAVE HER THE WORDING TO USE. THE COMPLAINT WAS WRITTEN AND MAILED THAT SAME DAY. THREE WEEKS LATER, THE CLIENT APOLOGIZED AND WITHDREW THE COMPLAINT. THE CLIENT AND HER FAMILY ARE VERY SATISFIED WITH HER PRODUCTS AND PERFORMANCE. THE CLIENT CONTINUES TO OWN THE PRODUCTS AND WE CONTINUE TO MEET WITH HER AND HER FAMILY REGULARLY TO REVIEW HER PORTFOLIO.
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.
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