GEORGE SPRUCE MCCAIN

GEORGE SPRUCE MCCAIN is currently employed as a Broker and/or Investment Adviser at KESTRA INVESTMENT SERVICES, LLC located at 5 CALENDAR CT, STE #202, COLUMBIA, SC, 29206.

GEORGE SPRUCE MCCAIN has worked at KESTRA INVESTMENT SERVICES, LLC since August 01, 1997

Disclosure History

GEORGE SPRUCE MCCAIN has 1 Disclosure Event(s).

Date: March 07, 2006
Category: Customer Dispute
Allegations: CLIENT PURCHASED VARIABLE ANNUITY IN 2002 THROUGH REP AND NOW ALLEGES THAT IT SHOULD HAVE BEEN A FIXED ANNUITY THAT WAS PURCHASED.
Damage Amount Requested: $47,000.00

Errors or Outdated Information?

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.

OTHER BROKERS IN SC WITH DISCLOSURE EVENTS

To view the full report for GEORGE SPRUCE MCCAIN, click here.

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

BrokerSearch Removal