KATHY A WATSON

KATHY A WATSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 15660 DALLAS PARKWAY, SUITE 1425, DALLAS, TX, 75248.

KATHY A WATSON has worked at LPL FINANCIAL LLC since February 16, 2016

Disclosure History

KATHY A WATSON has 4 Disclosure Event(s).

Date: April 23, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: April 20, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: April 19, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: August 15, 1998
Category: Judgment / Lien
Judgment/Lien Amount: $1,200.00
Judgment/Lien Type: Civil
Broker Comment: MY EX HUSBAND WAS ORDERED TO PAY FOR A COUCH FOR ME FROM JC PENNYS IN OUR DIVORCE DECREE. HE NEVER PAID THEM AND WHEN I WAS SERVED WITH PAPERS TO GO TO SMALL CLAIMS COURT I HAD ALREADY HAD MY BELONGINGS ON THE WAY TO TEXAS FROM CA AND WAS SCHEDULED TO LEAVE THE STATE THE FOLLOWING WEEK. THE COURT DATE WAS SET AHEAD BY A MONTH OR MORE. I SUBMITTED A COPY OF MY DIVORCE DECREE TO THE COURT BY MAIL BUT WAS AUTOMATICLY JUDGED AGAINST FOR FAILURE TO APPEAR.

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 KATHY A WATSON, click here.

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