ROGER STERL MCCULLOUGH is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 900 CENTRAL AVE, STE 23, FORT DODGE, IA, 50501.
ROGER STERL MCCULLOUGH has worked at AXA ADVISORS, LLC since October 20, 1980
ROGER STERL MCCULLOUGH has 5 Disclosure Event(s).
Date: August 04, 2016 Category: Customer Dispute Allegations: Clients allege misrepresentation in the purchase of an incentive life insurance policy in 1993. Broker Comment: The Firm found no basis to the customer complaint.
Date: April 14, 2016 Category: Customer Dispute Allegations: Claimant alleges RR misrepresented him in the purchase of a variable annuity in 2000. Settlement Amount: $122,500.00 Broker Comment: Without admission of liability, all parties agreed to settle the matter.
Date: September 01, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE PURCHASED A VARIABLE LIFE INSURANCE POLICY BASED ON THE AGENT'S REPRESENTATION THAT THE $16,000 PAYMENT WOULD BE A ONE TIME PREMIUM. CLIENT FURTHER ALLEGES THAT SHE HAD NO INDICATION FROM THE AGENT THAT ADDITIONAL PREMIUM PAYMENTS WOULD BE REQUIRED. CLIENT IS REQUESTING THE FIRM TO INVESTIGATE THIS MATTER. DAMAGES UNSPECIFIED. Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER'S COMPLAINT.
Date: July 21, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE PURCHASED A VARIABLE ANNUITY BASED ON THE AGENT'S REPRESENTATION THAT IT WOULD NEVER GET BELOW 6% AND THE CONTRACT DOES NOT HAVE THIS PROVISION. CLIENT IS REQUESTING THE FIRM TO INVESTIGATE THIS MATTER. DAMAGES UNSPECIFIED. Settlement Amount: $1,801.64 Broker Comment: IN THE INTEREST OF GOOD CLIENT RELATIONS, AXA-EQUITABLE AGREED TO SURRENDER THE CONTRACT WITHOUT CHARGE. TOTAL LOSS TO FIRM: $1801.64.
Date: July 29, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION IN THE SALE OF A 2003 VARIABLE ANNUITY CONTRACT. CLIENT ALLEGES THAT THE AGENT DID NOT EXPLAIN THE PRODUCT NOR THE COSTS INVOLVED IN ROLLING OVER HIS 401 K PLAN INTO THIS NEWLY ESTABLISHED CONTRACT. CLIENT FURTHER ALLEGES THAT IF THE AGENT HAD EXPLAINED ALL OF THE TERMS OF THE CONTRACT HE WOULD NOT HAVE AGREED TO CHANGE HIS INVESTMENT. CLIENT IS REQUESTING FOR HIS MONEY TO BE PLACED INTO A MANAGED 401K ACCOUNT, SIMILAR TO THE ONE HE HAD BEFORE, AND TO HAVE ANY SURRENDER FEES WAIVED. DAMAGES ARE UNSPECIFIED. Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER'S COMPLAINT.
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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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