RODNEY BRIAN SMITH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 333 N SUTTER STREET, STOCKTON, CA, 95202.
RODNEY BRIAN SMITH has worked at LPL FINANCIAL LLC since November 29, 2017
Disclosure History
RODNEY BRIAN SMITH has 1 Disclosure Event(s).
Date: December 07, 2015 Category: Customer Dispute Allegations: CLAIMANT ALLEGES MISREPRESENTATION OF VARIABLE ANNUITY INVESTMENT Broker Comment: ALLEGED MISREPRESENTATION IS UNFOUNDED; CLIENT HAD MULTIPLE MEETINGS WITH ME AS WELL AS HAVING ME MEET WITH ANOTHER FAMILIY MEMBER TO DISCUSS THE RECOMMENDED INVESTMENT. CLIENT SIGNED MULTIPLE DOCUMENTS AND DISCLOSURES REGARDING THE STRUCTURE OF THE INVESTMENT, INCLUDING ACCESS TO FUNDS AND PENALTIES FOR EARLY SURRENDER.
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