JON E. SCHLUETER is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 35 Robin Drive, Suite 102, Hauppauge, NY, 11788.
JON E. SCHLUETER has worked at ROYAL ALLIANCE ASSOCIATES, INC. since October 25, 2012
Disclosure History
JON E. SCHLUETER has 1 Disclosure Event(s).
Date: September 30, 2015 Category: Customer Dispute Allegations: The customer alleges that the variable annuity is unsuitable based on his future needs. Damage Amount Requested: $9,942.77 Broker Comment: In determining this client's needs a comprehensive financial plan was completed over many face to face meetings with both client and spouse. The product he is questioning 2 1/2 years later, is ideally suited for his stated objectives and goals. Client is an accredited, sophisticated investor with extensive investment experience. After an in-depth investigation including client background, documenation as well as my recommendation, my broker dealer concluded that restitution is clearly not warranted in this matter.
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 JON E. SCHLUETER, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.