RAYMOND AGUILLON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4079 De Zavala Road, San Antonio, TX, 78249.
RAYMOND AGUILLON has worked at LPL FINANCIAL LLC since July 03, 2012
Date: May 31, 2007 Category: Customer Dispute Allegations: TEXAS RESIDENT CLAIMS THAT THE NATIONWIDE ALL AMERICAN GOLD ANNUITY THAT SHE PURCHASED ON 11/29/06 FOR $100,000 WAS AN INAPPROPRIATE INVESTMENT FOR HER. THE CLIENT HAS REQUESTED TO FULLY SURRENDER HER ANNUITY WITHOUT PAYING THE SURRENDER PENALTY. THE SURRENDER PENALTY IS $7,000. Damage Amount Requested: $7,000.00 Broker Comment: DENIED BY FIRM. THE CLIENT WAS SEEKING AN INVESTMENT WITH GROWTH POTENTIAL TO PREPARE FOR RETIREMENT, BUT SHE ALSO WANTED TO PROTECT HER ASSETS. THE CAPITAL PRESERVATION PLUS LIFETIME INCOME FEATURE OF HER ANNUITY PROVIDES HER WITH A RETURN-OF-PRINCIPAL GUARANTEE (MINUS WITHDRAWALS AND CONTRACT FEES). THE CLIENTS INVESTMENT IN THE NATIONWIDE ANNUITY WAS CONSISTENT WITH HER STATED INVESTMENT OBJECTIVES.
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