KATRINA CRISTY LESSARD is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7337 E DOUBLETREE RANCH RD #195, SCOTTSDALE, AZ, 85258.
KATRINA CRISTY LESSARD has worked at LPL FINANCIAL LLC since August 07, 2015
Disclosure History
KATRINA CRISTY LESSARD has 2 Disclosure Event(s).
Date: April 03, 2014 Category: Financial Type: Compromise Disposition: SHORT SALE OF HOME Broker Comment: THE REAL ESTATE MARKET TOOK A SEVERE HIT IN THE PHOENIX METROPOLITAN AREA. I WAS FORCED TO SELL THE HOUSE FOR LESS THAN IT WAS WORTH, RESULTING IN AN UNPLANNED SHORT SALE.
Date: May 13, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION REGARDING A MUTUAL FUND PURCHASED ON 1/16/07. Damage Amount Requested: $50,000.00 Broker Comment: CLIENT HAS A SELF-DIRECTED ACCOUNT AND I DID NOT RECOMMEND THIS FUND TO CLIENT. HE BOUGHT THIS FUND ON THE RECOMMENDATION OF ANOTHER SCHWAB CLIENT (HIS FRIEND WHO REFERRED HIM TO SCHWAB HELD IT AND TOLD HIM HE SHOULD BUY IT TOO). I WAS SUGGESTING CD'S TO HIM BUT CLIENT OPTED TO BUY THIS MUTUAL FUND INSTEAD. WHEN CLIENTS HAVE SELF DIRECTED ACCOUNTS AT SCHWAB, IT IS THEIR RESPONSIBILITY TO WATCH THE FUNDS THEY BUY. I ONLY MONITOR OUR CLIENTS IN OUR FEE BASED PROGRAMS, WHICH HE OPTED NOT TO BE A PART OF.
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