KENNETH ALVIN O'NEIL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9300 SHELBYVILLE RD., SUITE 1310, LOUISVILLE, KY, 40222.
KENNETH ALVIN O'NEIL has worked at LPL FINANCIAL LLC since December 11, 2006
Disclosure History
KENNETH ALVIN O'NEIL has 2 Disclosure Event(s).
Date: January 30, 2007 Category: Customer Dispute Allegations: THE DAUGHTER OF THE DECEASED ALLEGES THAT A 2004 ANNUITY WAS NOT ESTABLISHED CORRECTLY. SHE ALLEGES THAT UPON THE ADVICE OF THE AGENT, THE ANNUITY CONTRACT LISTED HER MOTHER (NOW DECEASED) AS OWNER AND THE DAUGHTER AS ANNUITANT AND PRIMARY BENEFICIARY. THE AGENT REPRESENTED THAT THE ANNUITY HAD TO BE SET UP THIS WAY BECAUSE THE MOTHER WAS OVER AGE 80 BUT NONETHELESS REPRESENTED THAT THE BENEFICIARIES WOULD RECIEVE THE DEATH BENEFIT UPON THE MOTHER'S PASSING. DAMAGES ARE UNSPECIFIED. Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER'S COMPLAINT.
Date: February 08, 1991 Category: Criminal Charges: ANY CONTROLLED SUBSTANCE CHARGE, 1 COUNT, AMENDED . NON-INVESTMENT RELATED. Charge Type: FELONY Disposition: AMENDED TO MISDEMEANOR POSSESSION OF DRUG PARAPHENALIA
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