RONNIE DEAN SMITHEY

RONNIE DEAN SMITHEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 405 SOUTH MAGNOLIA AVE, EL CAJON, CA, 92020.

RONNIE DEAN SMITHEY has worked at LPL FINANCIAL LLC since September 02, 2005

Disclosure History

RONNIE DEAN SMITHEY has 5 Disclosure Event(s).

Date: January 23, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: January 23, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 20, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: UNABLE TO MEET FINANCIAL OBLIGATION DUE TO MEDICAL ISSUES

Date: September 20, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: UNABLE TO MEET FINANCIAL OBLIGATION DUE TO MEDICAL ISSUES

Date: September 20, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: UNABLE TO MEET FINANCIAL OBLIGATION DUE TO MEDICAL ISSUES

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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