LEONEL CALDERON

LEONEL CALDERON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at One Enterprise Drive, Suite 105, Shelton, CT, 06484.

LEONEL CALDERON has worked at LPL FINANCIAL LLC since November 12, 2015

Disclosure History

LEONEL CALDERON has 1 Disclosure Event(s).

Date: February 04, 2008
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT WHEN SHE MADE AN ADDITIONAL CONTRIBUTION TO HER VARIABLE ANNUITY IN SEPTEMBER 2004, THE REPRESENTATIVE DID NOT ADVISE HER OF CORRESPONDING SURRENDER CHARGES.
Damage Amount Requested: $5,000.00

More Information

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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.

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