JAMES WILLIAM FILIPPI

JAMES WILLIAM FILIPPI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 11810 SEBASTIAN WAY STE 105, RANCHO CUCAMONGA, CA, 91730-0706.

JAMES WILLIAM FILIPPI has worked at LPL FINANCIAL LLC since January 03, 2014

Disclosure History

JAMES WILLIAM FILIPPI has 1 Disclosure Event(s).

Date: August 07, 2007
Category: Customer Dispute
Allegations: CLIENT ALLEGES FINANCIAL ADVISOR MADE A MISREPRESENTATION REGARDING A UNIT INVESTMENT TRUST. DATE OF INVESTMENT WAS 05/01/07. ALLEGED DAMAGES NOT SPECIFIED, BUT BELIEVED TO BE OVER $5,000.

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 WILLIAM FILIPPI, click here.

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