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.
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