RAZVAN AURELIAN MIRICA

RAZVAN AURELIAN MIRICA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 26 RENNIE RD, QUECHEE, VT, 03755.

RAZVAN AURELIAN MIRICA has worked at LPL FINANCIAL LLC since February 10, 2015

Disclosure History

RAZVAN AURELIAN MIRICA has 1 Disclosure Event(s).

Date: January 17, 2007
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THAT HE WAS NOT AWARE OF THE EARLY WITHDRAWL PENALTY ASSOCIATED WITH THE ANNUITY PURCHASED IN JULY 2006.
Damage Amount Requested: $9,359.70
Broker Comment: THE FIRM FOUND THAT THE ANNUITY INVESTMENT MAY NOT HAVE BEEN THE MOST APPROPRIATE INVESTMENT OPTION FOR THIS CLIENT. THE FIRM PRESENTED SEVERAL SETTLEMENT OPTIONS TO THE CLIENT. THE CLIENT DID NOT RESPOND TO OUR SETTLEMENT OFFER. IT APPEARS THE ADVISOR'S COACH HAD GIVEN THE CLIENT THE INITIAL RECOMMENDATION TO PURCHASE THE ANNUITY ACCOUNT.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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