REGINA LATRELLE MCCORMICK

REGINA LATRELLE MCCORMICK is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3903 NORTH ELM STREET, #200, GREENSBORO, NC, 27455.

REGINA LATRELLE MCCORMICK has worked at LPL FINANCIAL LLC since December 08, 2014

Disclosure History

REGINA LATRELLE MCCORMICK has 2 Disclosure Event(s).

Date: March 20, 2015
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: Firm has made a reasonable determination this is a reportable event.

Date: November 04, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: FINANCIAL HARDSHIP EXPERIENCED DUE TO FACTORS INCLUDING BUT NOT LIMITED TO DIVORCE AND UNEXPECTED MEDICAL & DENTAL EXPENSES.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

To view the full report for REGINA LATRELLE MCCORMICK, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.