NICHOLAS TILDEN DREW is currently employed as a Broker and/or Investment Adviser at LIBERTY PARTNERS FINANCIAL SERVICES, LLC located at 13722 Office Park Drive. Suite B, Houston, TX, 77070.
NICHOLAS TILDEN DREW has worked at LIBERTY PARTNERS FINANCIAL SERVICES, LLC since March 08, 2012
Disclosure History
NICHOLAS TILDEN DREW has 8 Disclosure Event(s).
Date: March 24, 2015 Category: Judgment / Lien Judgment/Lien Amount: $57,925.00 Judgment/Lien Type: Tax Broker Comment: Currently in process of waiting for IRS to process corrected amounts of the debts owed as they are incorrect according to recently filed amended tax returns. Rep was misadvised to remove horse business related expenses from personal return causing large debts. During the correction process the IRS has apparently set up liens for each year. Attorney had advised to wait until the amounts were corrected prior to reporting to FINRA.
Date: January 27, 2015 Category: Judgment / Lien Judgment/Lien Amount: $82,270.34 Judgment/Lien Type: Tax Broker Comment: Currently in process of waiting for IRS to process corrected amounts of the debts owed as they are incorrect according to recently filed amended tax returns. Rep was misadvised to remove horse business related expenses from personal return causing large debts. During the correction process the IRS has apparently set up liens for each year. Attorney had advised to wait until the amounts were corrected prior to reporting to FINRA.
Date: November 25, 2014 Category: Judgment / Lien Judgment/Lien Amount: $76,775.00 Judgment/Lien Type: Tax Broker Comment: Currently in process of waiting for IRS to process corrected amounts of the debts owed as they are incorrect according to recently filed amended tax returns. Rep was misadvised to remove horse business related expenses from personal return causing large debts. During the correction process the IRS has apparently set up liens for each year. Attorney had advised to wait until the amounts were corrected prior to reporting to FINRA.
Date: June 24, 2014 Category: Judgment / Lien Judgment/Lien Amount: $25,000.00 Judgment/Lien Type: Tax Broker Comment: THE REP WAS NOTIFIED OF THE LIEN ON 06/21/2014 HOWEVER IT HAS NOT BEEN FILED WITH THE COURTS BECAUSE THEY ARE WAITING ON UPDATED TAX RETURNS TO FILE WITH THE CORRECT AMOUNT. REP JUST WANTED TO GET THIS STARTED SO ONCE THEY FILE WE CAN UPDATE AND YOU WILL HAVE ALREADY BEEN AWARE!REP MADE A PAYMENT ON THIS BRINGING THE BALANCE DOWN TO $25,000 HE IS CURRENTLY WORKING ON A PAYMENT PLAN WITH THE IRS TO PAY OFF THE REMAINING BALANCE AS OF 6/4/2015
Date: November 18, 2013 Category: Regulatory
Date: June 27, 2012 Category: Customer Dispute Allegations: THE CLIENTS STATED THEY RECEIVED POOR ADVICE TO SURRENDER TWO RIVERSOURCE RETIREMENT ADVISOR 4 ADVANTAGE VARIABLE ANNUITIES ON JANUARY 2011 AND MAY 2011. Damage Amount Requested: $9,331.64 Settlement Amount: $19,137.64
Date: March 03, 2012 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THE SIGNATURES TO EFFECT TRANSACTIONS ON MARCH 2010 WITH HIS RIVERSOURCE RAVA 4 AND RIVERSOURCE VUL IV WERE DONE WITH RECYCLED SIGNATURES.
Date: February 22, 2012 Category: Customer Dispute Allegations: THE CLIENTS STATED THAT ALTHOUGH THE SIGNATURES WERE THEIRS, THEY DID NOT SIGN THE CASH DISTRIBUTION FORMS SIGNED IN OCTOBER 2009,MARCH 2010,JUNE 2010,JULY 2010, AND NOVEMBER 2010. Damage Amount Requested: $22,030.00 Settlement Amount: $6,350.25
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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