JAMES THOMAS LARKIN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 613 OLD SANTA FE TRAIL, SANTA FE, NM, 87505.
JAMES THOMAS LARKIN has worked at LPL FINANCIAL LLC since March 08, 2017
Disclosure History
JAMES THOMAS LARKIN has 1 Disclosure Event(s).
Date: June 15, 2015 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT THE RR'S FAILED TO PLACE HER IN AN INVESTMENT THAT WOULD PROTECT HER PRINCIPAL AND ASKS THE COMPANY TO REIMBURSE HER FOR THE LOSS PLUS INTEREST. Broker Comment: BASED ON A REVIEW OF THE DOCUMENTS, THE FIRM FOUND NO BASIS TO OFFER THE CUSTOMER EXTRA CONTRACTUAL RELIEF.
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