JAMES LLOYD SPACE is currently employed as a Broker and/or Investment Adviser at EQUITY SERVICES, INC. located at 1393 VETERANS MEMORIAL HWY., SUITE 314N, HAUPPAUGE, NY, 11788.
JAMES LLOYD SPACE has worked at EQUITY SERVICES, INC. since March 28, 2018
Disclosure History
JAMES LLOYD SPACE has 3 Disclosure Event(s).
Date: February 20, 2018 Category: Employment Separation After Allegations Firm Name: PRUCO SECURITIES, LLC Termination Type: Discharged Allegations: Registered Representative did not disclose an outside business activity (not securities related) for which he received compensation.
Date: March 03, 2015 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE REP DID NOT FULLY DISCLOSE ALL FACTS REGARDING POLICY REPLACEMENT AND TAX CONSEQUENCES OF TAKING A EARLY WITHDRAWAL
Date: March 21, 2014 Category: Customer Dispute Allegations: THE CLIENT ALLGES THAT THE REPRESENTATIVE DID NOT FULLY DISCLOSE ALL THE FACTS ABOUT THE GUARANTEES AND RISKS.
More Information
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