JANIS EILEEN REESE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 5700 WESTOWN PARKWAY, SUITE 100, WEST DES MOINES, IA, 50266.
JANIS EILEEN REESE has worked at LPL FINANCIAL LLC since November 30, 2010
Disclosure History
JANIS EILEEN REESE has 3 Disclosure Event(s).
Date: November 25, 2013 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES ADVISOR FAILED TO PROVIDE AGREED UPON SERVICES REGARDING RETIREMENT PLAN. Settlement Amount: $40,000.00 Broker Comment: WITHOUT ADMITTING WRONGDOING ON THE PART OF RIA OR THE ADVISOR, RIA SETTLED WITH THE CLIENT FOR $40,000 ON 4/7/15 IN ORDER TO AVOID FUTURE COSTS.
Date: March 14, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: April 23, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
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