KARYL KRISTEN MOORE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 123 MARINA DRIVE, ST SIMONS ISLAND, GA, 31522.
KARYL KRISTEN MOORE has worked at LPL FINANCIAL LLC since June 11, 2014
KARYL KRISTEN MOORE has 1 Disclosure Event(s).
Date: September 12, 2012 Category: Employment Separation After Allegations Firm Name: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Termination Type: Discharged Allegations: CONDUCT INVOLVING ALTERATION OF A CLIENT DOCUMENT. Broker Comment: LAST NUMBERS OF THE NEW ACCT # WHERE INCORRECT, DUE TO MIX UP BETWEEN 3 ACCTS. FORM WAS CORRECTED IN 2 PLACES,APPVD BY 3 DIFFERENT AREAS OF COMPLIANCE. MONTHS LATER WHEN ADVISOR WAS ADDING OPTIONS TO THE ACCT, FORMS WHERE PULLED IN NEW YORK, THEY INTEROPERATED IT AS ALTERED WITHOUT CLIENT INITIALS. LOCAL AREA PRESIDENT INDICATED THAT THEY COULD NOT "SAVE THE JOB" SINCE IT WAS FOUND IN NEW YORK AND THERE WAS A NEW ZERO TOLERANCE RULE. NO CLIENT SIGNATURE WAS ALTERED OR SIGNED WITHOUT CONSENT. IT WAS A CORRECTION TO A MISTAKE. VERY HIGH PROFILE CLIENT, AND THE ADVISORS FELT THAT WE DID NEED BOTHER THEM WITH IT, SIMPLE CORRECTION AND THAT IF DOC REVIEW WANTED IT INITIALED WE WOULD GET IT, BUT ALL DOCS WERE APPROVED AND WE DID NOT THINK ABOUT IT AGAIN. IN HINDSIGHT, A LAPSE IN MY BETTER JUDGMENT TO GET IT INITIALED RESULTED IN MY SEPARATION.
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