SANDRA CERQUEIRA

SANDRA CERQUEIRA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 50 NORTH MAIN STREET, KENT, CT, 06757.

SANDRA CERQUEIRA has worked at LPL FINANCIAL LLC since October 11, 2011

Disclosure History

SANDRA CERQUEIRA has 1 Disclosure Event(s).

Date: June 08, 2016
Category: Customer Dispute
Allegations: Customer's daughter, who obtained a POA over a year after the initial investment, (but not the customer), alleges that an unsuitable investment was made in a variable annuity.

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.

To view the full report for SANDRA CERQUEIRA, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.