GARTH FERNANDEZ is currently employed as a Broker and/or Investment Adviser at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located at 1188 BISHOP ST, #2910, HONOLULU, HI, 96813.
GARTH FERNANDEZ has worked at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER since March 15, 2013
Disclosure History
GARTH FERNANDEZ has 1 Disclosure Event(s).
Date: February 22, 2013 Category: Employment Separation After Allegations Firm Name: LPL FINANCIAL LLC Termination Type: Discharged Allegations: VIOLATED THE FIRM'S DOCUMENT SIGNATURE POLICY BY SUBMITTING A BROKER-DEALER CHANGE FORM WITH AN ALTERED DATE TO A MUTUAL FUND COMPANY WITHOUT CLIENT AUTHORIZATION. Broker Comment: I BELIEVED THAT I HAD PROPER VERBAL AUTHORIZATION FROM THE CLIENT.
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