KEVIN C. SWANSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1226 Lincoln Ave., Suite 200, San Jose, CA, 95125.
KEVIN C. SWANSON has worked at LPL FINANCIAL LLC since June 18, 2008
Disclosure History
KEVIN C. SWANSON has 1 Disclosure Event(s).
Date: December 01, 2016 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING; POOR PERFORMANCE Damage Amount Requested: $16,649.76 Broker Comment: INTERNAL REVIEW DETERMINED MR. SWANSON MET AND DISCUSSED THE TRADES WITH THE CUSTOMER PRIOR TO PLACING THE TRADES AND THAT THE CUSTOMER ALSO PROVIDED DISCRETIONARY TRADING AUTHORIZATION IN WRITING FOR THE ACCOUNT. WHEN DECLINE IN POSITION OCCURRED DUE TO MARKET FLUCTUATION, MR. SWANSON REDUCED EQUITY EXPOLSURE.
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.
To view the full report for KEVIN C. SWANSON, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.