GLENN KEVIN ROSE

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

GLENN KEVIN ROSE has worked at LPL FINANCIAL LLC since November 29, 2017

Disclosure History

GLENN KEVIN ROSE has 1 Disclosure Event(s).

Date: November 21, 2008
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES NON-DISCLOSURE, MISREPRESENTATION, BREACH OF CONTRACT, VIOLATION OF THE COLORADO CONSUMER PROTECTION ACT.
Settlement Amount: $7,500.00
Broker Comment: THE ALLEGED DAMAGES ARE NOT SPECIFIED IN THE SUIT, HOWEVER THEY ARE REASONABLY BELIEVED TO BE GREATER THAN $5,000.00.

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.

To view the full report for GLENN KEVIN ROSE, click here.

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