RICHARD J ZABLOCKI

RICHARD J ZABLOCKI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 326 STATE STREET STE 202, NEW LONDON, CT, 06320.

RICHARD J ZABLOCKI has worked at LPL FINANCIAL LLC since February 14, 2018

Disclosure History

RICHARD J ZABLOCKI has 4 Disclosure Event(s).

Date: June 03, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $10,658.35
Judgment/Lien Type: Civil
Broker Comment: Payment plan in place.

Date: July 30, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $3,221.00
Judgment/Lien Type: Civil
Broker Comment: I was unaware of the judgment status of this medical bill for my daughter. I will set up a payment plan in the next 60 days.

Date: June 06, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $2,326.05
Judgment/Lien Type: Civil

Date: July 10, 2012
Category: Judgment / Lien
Judgment/Lien Amount: $1,754.90
Judgment/Lien Type: Civil

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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