RICHARD LEE BRUCE

RICHARD LEE BRUCE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 308 WILLISTON ROAD, SAGAMORE BEACH, MA, 02562.

RICHARD LEE BRUCE has worked at LPL FINANCIAL LLC since April 28, 1992

Disclosure History

RICHARD LEE BRUCE has 2 Disclosure Event(s).

Date: March 09, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: January 18, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

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.

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