SEAN CHRISTOPHER WALKER

SEAN CHRISTOPHER WALKER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 100 PACIFICA SUITE 400, IRVINE, CA, 92618.

SEAN CHRISTOPHER WALKER has worked at LPL FINANCIAL LLC since November 19, 2013

Disclosure History

SEAN CHRISTOPHER WALKER has 5 Disclosure Event(s).

Date: October 29, 2013
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 20, 2013
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: August 01, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: July 12, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: July 12, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

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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