LARRY MILTON WARE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 845 S. MAIN STREET, SUITE 200, GRAHAM, NC, 27253.
LARRY MILTON WARE has worked at LPL FINANCIAL LLC since January 12, 2012
Disclosure History
LARRY MILTON WARE has 1 Disclosure Event(s).
Date: December 15, 2011 Category: Employment Separation After Allegations Firm Name: SUNTRUST INVESTMENT SERVICES, INC Termination Type: Discharged Allegations: ALTERED CLIENT SIGNED DISCLOSURE FORM TO ADD RATE INFORMATION Broker Comment: THE U5 DOCUMENT STATES THAT MY EMPLOYMENT AT SUNTRUST INVESTMENTS WAS TERMINATED BECAUSE I: "ALTERED CLIENT SIGNED DISCLOSURE FORM TO ADD RATE INFORMATION." MY EXPLANATION IS STRAIGHT FORWARD. I WAS HELPING A LICENSED BANKER WITH THE DOCUMENTS FOR A FIXED ANNUITY. THE LB HAD MET WITH THE CLIENT WITHOUT ME BEING PRESENT. WHEN I GOT TO THE BRANCH, THE CLIENT HAD ALREADY SIGNED THE FORMS AND LEFT. THE LB ASKED ME TO ASSIST HER WITH THE DOCUMENTS. SHE HAD COMPLETED THE ANNUITY COMPANY'S FORMS WHICH INCLUDED THE RATES AND TERM. THE SUNTRUST INTERNAL FORMS WERE INCOMPLETE - SPECIFICALLY THE RATE INFORMATION. I COMPLETED THE INTERNAL FORMS BY TRANSPOSING THE RATE INFORMATION FROM THE ANNUITY COMPANY'S FORMS TO THE SUNTRUST FORMS. THE RATES WERE NOT CHANGED OR ALTERED IN ANY WAY. THE CLIENT RECEIVED THE RATES AND THE TERM THAT THE LB HAD DESCRIBED AND THE ANNUITY WAS ISSUED.
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