KEVIN L. CECIL

KEVIN L. CECIL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3701 LAKE BOONE TRAIL, STE 202, RALEIGH, NC, 27607.

KEVIN L. CECIL has worked at LPL FINANCIAL LLC since July 23, 2007

Disclosure History

KEVIN L. CECIL has 1 Disclosure Event(s).

Date: June 02, 2009
Category: Customer Dispute
Allegations: REGARDING THE 2004 PURCHASE OF A PRULIFE INSURANCE POLICY, THE CLIENT ALLEGED MISREPRESENTATION CONCERNING THE FAILURE TO PROPERLY DISCLOSE ADMINISTRATIVE CHARGES AND EXPENSES.
Broker Comment: THIS MATTER IS BEING REPORTED CONSISTENT WITH FINRA RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.

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.

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