JAMES ALAN BARRETT is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4707 Executive Dr, SAN DIEGO, CA, 92121-3091.

JAMES ALAN BARRETT has worked at LPL FINANCIAL LLC since November 29, 2012

Disclosure History

JAMES ALAN BARRETT has 2 Disclosure Event(s).

Date: March 30, 1996
Category: Criminal

Date: February 13, 1991
Category: Criminal

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.

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