LOREN LO

LOREN LO is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 10500 NE 8TH STREET, SUITE 1600, BELLEVUE, WA, 98004.

LOREN LO has worked at AXA ADVISORS, LLC since January 28, 2013

Disclosure History

LOREN LO has 1 Disclosure Event(s).

Date: May 19, 2017
Category: Customer Dispute
Allegations: Clients allege they were not properly informed of the surrender charges and fees associated with their variable annuities purchased in 2016.
Broker Comment: The Firm found no basis to the customer complaint.

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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