KERRY MICHAEL MC MULLEN

KERRY MICHAEL MC MULLEN is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 121 OUTERBELT ST, COLUMBUS, OH, 43213.

KERRY MICHAEL MC MULLEN has worked at AMERIPRISE FINANCIAL SERVICES, INC. since June 12, 1996

Disclosure History

KERRY MICHAEL MC MULLEN has 1 Disclosure Event(s).

Date: August 18, 2003
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED IN SEPTEMBER OF 1999 AND FEBRUARY OF 2000 I DID NOT INVEST HER ASSETS ACCORDING TO HER RISK PROFILE OR OBJECTIVES AND THE INVESTMENTS WERE NOT PROPERLY DIVERSIFIED.
Damage Amount Requested: $34,000.00
Broker Comment: WE FOUND THE CLIENT DEFINED HER RISK TOLERANCE IN 1999 AND IN DEC OF 2001 STILL DESCRIBED HERSELF AS MODERATELY AGGRESSIVE. ALL THE INVESTMENTS WERE CHOSEN BY THE CLIENT BASED ON HER GOAL OF GROWTH. HER ADVISOR RECOMMENDED BOND FUNDS, BUT THE CLIENT REJECTED THE INVESTMENTS STATING SHE WANTED INVESTMENTS WITH A HIGH GROWTH POTENTIAL.

More Information

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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.

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