JEREMY THOMAS CAZA

JEREMY THOMAS CAZA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 5790 WIDEWATERS PKWY STE 100-B, SYRACUSE, NY, 13214.

JEREMY THOMAS CAZA has worked at LPL FINANCIAL LLC since February 14, 2018

Disclosure History

JEREMY THOMAS CAZA has 1 Disclosure Event(s).

Date: August 28, 2004
Category: Criminal
Charges: 1. ONE COUNT DRIVING WHILE INTOXICATED, 2. FELONY, 3. CHARGE REDUCED TO MISDEMEANOR, 4. N/A; Charge Type: FELONY
Disposition: A. REDUCED TO/CONVICTED OF MISDEMEANOR, B. 03/16/2005, C. PROBATION, LICENSE REVOKED, FINE, D. 3 YEARS PROBATION AND LICENSE REVOKED FOR 1 YEAR, E. 03/16/2005, F. $1000 FINE AND COURT COSTS OF $185, G. PAID $1,000 ON 5/25/05, AS OF 10/28/05 STILL OWE $185

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 JEREMY THOMAS CAZA, click here.

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