KRISTY H NICOL

KRISTY H NICOL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4050 LAKE DRIVE SE, GRAND RAPIDS, MI, 49546.

KRISTY H NICOL has worked at LPL FINANCIAL LLC since September 16, 2011

Disclosure History

KRISTY H NICOL has 2 Disclosure Event(s).

Date: July 26, 2016
Category: Customer Dispute
Allegations: CUSTOMER IS DISSATISFIED WITH FEES ASSOCIATED WITH ANNUITY RIDERS.

Date: September 28, 2007
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT FUNDS WERE REMOVED FROM HER CHECKING ACCOUNT (TO HER INVESTMENT ACCOUNT) WITHOUT HER AUTHORIZATION.
Broker Comment: PLEASE NOTE THAT THE CLIENT REQUETED A SALE OF THE 12,000 SHARES OF EBS STOCK ON 10/11/2007. THE CLIENT HAD A GAIN OF $4,614.08 FROM THE SELL REQUESTED.

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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