LARRY JOSEPH STEELE is currently employed as a Broker and/or Investment Adviser at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at 3049 ROBERT C BYRD DR, STE 250, BECKLEY, WV, 25801.
LARRY JOSEPH STEELE has worked at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC since November 17, 1986
Disclosure History
LARRY JOSEPH STEELE has 1 Disclosure Event(s).
Date: November 23, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT IN FEBRUARY 2008 HE DIRECTED REPRESENTATIVE TO MOVE FUNDS HELD IN A VARIABLE LIFE POLICY TO A FIXED RATE OPTION, AND THAT REPRESENTATIVE FAILED TO FOLLOW THOSE INSTRUCTIONS. Broker Comment: LITIGATION NAMING REPRESENTATIVE AND AFFILIATED LIFE INSURANCE COMPANY SETTLED FOR $100,000 AND COMPANY'S AGREEMENT TO CONVERT THE POLICY IN QUESTION TO AN ADJUSTABLE COMPLIFE CONTRACT. REPRESENTATIVE EXPRESSLY DENIES ALL LIABILITY, WRONGDOING, OR IMPROPRIETY.
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 LARRY JOSEPH STEELE, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.