MARIA PATRICIA TIPTON is currently employed as a Broker and/or Investment Adviser at KCD FINANCIAL, INC. located at 2625 BUTTERFIELD ROAD, #224 SOUTH, OAK BROOK, IL, 60523.
MARIA PATRICIA TIPTON has worked at KCD FINANCIAL, INC. since November 20, 2012
Disclosure History
MARIA PATRICIA TIPTON has 2 Disclosure Event(s).
Date: February 28, 2013 Category: Financial Type: Compromise Disposition: SETTLED Broker Comment: PROPERTY ORIGINALLY USED FOR RENTAL, BUT TENANT VACATED IN SEPT., 2011--AT SAME TIME PROPERTY LOST ITS VALUE. WAS TOLD BY LOAN OFFICER WOULD NOT QUALIFY FOR ANY ASSISTANCE OR LOAN MODIFICATION. THIS SETTLEMENT WAS ACCEPTED BY SUN TRUST MORTGAGE AS A SHORT SALE ON PROPERTY OWNED IN FL.
Date: June 29, 2011 Category: Employment Separation After Allegations Firm Name: PRUCO SECURITIES, LLC Termination Type: Discharged Allegations: FOLLOWING A PRIOR WARNING, REGISTERED REPRESENTATIVE FACILITATED THE REPLACEMENT OF EXISTING PRUDENTIAL VARIABLE ANNUITIES WITH EQUITY INDEXED ANNUITIES NOT APPROVED FOR SALE BY THE FIRM, AND THE REPLACEMENT OF A PRUDENTIAL LIFE INSURANCE POLICY WITH ANOTHER COMPANY'S LIFE INSURANCE POLICY, BY REFERRING PRUDENTIAL CLIENTS TO OTHER PRODUCERS, INCLUDING HER MARKETING ASSISTANT, WHO CONCLUDED THE TRANSACTIONS. SHE ALSO WAS INVOLVED IN A CLIENT'S REPLACEMENT OF TWO PRUDENTIAL VARIABLE LIFE INSURANCE POLICIES WITH A LIFE INSURANCE POLICY ISSUED BY ANOTHER COMPANY. IN ALL CASES, THE TRANSACTIONS WERE NOT SUBMITTED TO THE FIRM FOR REQUIRED SUPERVISORY REVIEW. ALLEGATIONS CONFIRMED. Broker Comment: REGISTERED REP WAS LICENSED WITH PRUDENTIAL SINCE AUGUST OF 1986 AND THIS IS THE ONLY MARK ON HER BACKGROUND.
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