JAMES GREGORY DAVID

JAMES GREGORY DAVID is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 5080 SUNSET BLVD, SUITE A, LEXINGTON, SC, 29072.

JAMES GREGORY DAVID has worked at LPL FINANCIAL LLC since May 25, 2012

Disclosure History

JAMES GREGORY DAVID has 2 Disclosure Event(s).

Date: August 22, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $69,854.81
Judgment/Lien Type: Tax
Broker Comment: Tax period(s): 12/31/2013 and 12/31/2014

Date: October 10, 2003
Category: Criminal
Charges: FRAUDULENT CHECK UNDER $500 - 1ST, MISDEMEANOR Charge Type: MISDEMEANOR
Disposition: DISMISSED/RESTITUTION - $41.00
Broker Comment: I DID NOT INCLUDE THIS ON MY INITIAL U-4 BECAUSE IT WAS DISMISSED. I THOUGHT THERE WAS NO CHARGE TO REPORT.

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 JAMES GREGORY DAVID, click here.

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