JARROD WILLIAM RUTLEDGE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3030 NORTH ROCKY POINT DRIVE WEST, SUITE 700, TAMPA, FL, 33607.
JARROD WILLIAM RUTLEDGE has worked at LPL FINANCIAL LLC since February 26, 2010
Disclosure History
JARROD WILLIAM RUTLEDGE has 2 Disclosure Event(s).
Date: April 13, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGED THE INVESTMENTS SHE WAS IN WERE NOT SUITABLE AND THAT SHE DID NOT RECEIVE APPROPRIATE DISCLOSURE ON THE INVESTMENTS IN 2006 - 2009. Damage Amount Requested: $5,000.00 Broker Comment: OUR REVIEW INDICATED THE ADVISOR CONSISTENTLY RECOMMENDED THE CLIENT LOWER THE AMOUNT OF RISK IN THEIR PORTFOLIO AND THE CLIENT DECLINED TO TAKE THIS ADVICE. IN REGARD TO THE DISCLOSURE, WE FOUND THE CLIENT WAS PRESENTED WITH THE REQUIRED DISCLOSURE FOR HER INVESTMENTS, INCLUDING MUTUAL FUND REVENUE SHARING DISCLOSURE AND A REVIEW OF THE ANNUITY RIDERS, WHICH SHE DECLINED TO PURCHASE.
Date: December 29, 2007 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT THE RETIREMENT ADVISOR'S VARIABLE ANNUITY (RAVA) PURCHASED IN 6/07 WAS NOT SUITABLE FOR HER FINANCIAL GOALS AND OBJECTIVES. SHE ALSO STATED THAT SHE WAS NOT GIVEN SUFFICIENT INFORMATION PERTAINING TO THE RAVA'S FEATURES AND BENEFITS. Damage Amount Requested: $5,000.00 Broker Comment: OUR REVIEW FOUND THE RAVA INVESTMENT WAS IN ALIGNMENT WITH THE CLIENT'S FINANCIAL GOALS AND OBJECTIVES. IT APPEARS THAT THE CLIENT RECEIVED FULL AND FAIR DISCLOSURE PERTAINING TO THE RAVA'S FEATURES AND BENEFITS.
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 JARROD WILLIAM RUTLEDGE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.