JOANN JOYCE MACKENZIE is currently employed as a Broker and/or Investment Adviser at PROSPERA FINANCIAL SERVICES, INC. located at 27 AGUA SARCA, PLACITAS, NM, 87043.
JOANN JOYCE MACKENZIE has worked at PROSPERA FINANCIAL SERVICES, INC. since April 30, 2008
Disclosure History
JOANN JOYCE MACKENZIE has 1 Disclosure Event(s).
Date: April 17, 2008 Category: Employment Separation After Allegations Firm Name: COMMONWEALTH FINANCIAL NETWORK Termination Type: Discharged Allegations: CFN RECEIVED NOTICE FROM LFA THAT RR RECEIVED COMPLETED, SIGNED AND POST DATED CFN ACCOUNT OPENING AND TRANSFER DOCUMENTATION FROM AT LEAST ONE EXISTING LFA CLIENT PRIOR TO TERMINATING REGISTRATION WITH LFA. Broker Comment: IN LIGHT OF THE AMENDMENT MADE BY LFA OF THE REPS U5 THAT STATED THAT THE DRP WAS FILED IN ERROR; PROSPERA ATTEMPTED TO HAVE CFN ALSO AMEND THEIR U5 FILING BUT WAS UNSUCCESSFUL. PROSPERA MAINTAINS THAT THIS ENTIRE MATTER WAS AN EMPLOYMENT ISSUE AND NOT INVESTMENT RELATED.
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