KENT KATSUO TANAKA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 412 W Broadway, Suite 208, Glendale, CA, 91204.
KENT KATSUO TANAKA has worked at LPL FINANCIAL LLC since October 20, 2017
Disclosure History
KENT KATSUO TANAKA has 1 Disclosure Event(s).
Date: May 06, 2008 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THE INVESTMENTS RECOMMENDED TO HER WERE NOT SUITABLE FOR HER FINANCIAL GOALS, OBJECTIVE AND CIRCUMSTANCES. Damage Amount Requested: $5,000.00 Broker Comment: OUR REVIEW FOUND THE CLIENT RECEIVED INFORMATION PERTAINING TO THE RISK ASSOCIATED WITH HER INVESTMENTS. ADDITIONALLY, THE INVESTMENT RECOMMENDATIONS WERE APPROPRIATE FOR HER FINANCIAL GOALS AND OBJECTIVES.
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