SCOTT CHRISTOPHER SMITH

SCOTT CHRISTOPHER SMITH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 100 DIXIE BLVD, MORGANTON, NC, 28655-8244.

SCOTT CHRISTOPHER SMITH has worked at LPL FINANCIAL LLC since February 14, 2018

Disclosure History

SCOTT CHRISTOPHER SMITH has 1 Disclosure Event(s).

Date: November 04, 2013
Category: Customer Dispute
Allegations: CLIENT STATES HIS MONTHLY DISBURSEMENT IS LESS THAN DISCUSSED AND HE DID NOT RECEIVE HIS CONTRACT IN A TIMELY MANNER.
Damage Amount Requested: $8,966.75

Errors or Outdated Information?

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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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