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
Disclosure History
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.
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 KARYL KRISTEN MOORE, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.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.