SHAWN THOMAS KESTERSON is currently employed as a Broker and/or Investment Adviser at BRIGHTHOUSE SECURITIES, LLC located at 9505 Eldwick Drive, Brentwood, TN, 37027.
SHAWN THOMAS KESTERSON has worked at BRIGHTHOUSE SECURITIES, LLC since March 06, 2017
Disclosure History
SHAWN THOMAS KESTERSON has 2 Disclosure Event(s).
Date: September 22, 2011 Category: Customer Dispute Allegations: ALLEGATION THAT SHAWN KESTERSON ENGAGED IN MISCONDUCT. ALLEGATION BY CLAIMANTS THAT SHAWN KESTERSON MADE MISREPRESENTATIONS TO THEIR FINANCIAL ADVISOR, [THIRD PARTY]. [THIRD PARTY] SOLD VARIABLE ANNUITIES TO CLAIMANTS IN JANUARY AND MAY OF 2007. Damage Amount Requested: $208,239.49 Settlement Amount: $52,500.00
Date: February 01, 2010 Category: Employment Separation After Allegations Firm Name: LINCOLN FINANCIAL DISTRIBUTORS, INC. Termination Type: Permitted to Resign Allegations: FIRM TERMINATED WHOLESALER AFTER INTERNAL INVESTIGATION CONCERNING THE DISTRIBUTION OF UNAPPROVABLE MARKETING MATERIALS THROUGH A NON-FIRM EMAIL ACCOUNT. Broker Comment: I AM CURRENTLY WORKING WITH MY OWN PERSONAL ATTORNEY TO DISPUTE LINCOLN FINANCIAL'S CLAIMS SURROUNDING MY DEPARTURE. (THE 'UNNAPROVABLE MARKETING MATERIAL' IN QUESTION WAS A COMPLIANCE APPROVED, WEEKLY CE INVITATION, WHICH WAS SENT BY A SCHEDULER WHO WORKED FOR AN LFD APPROVED VENDOR WHO WASALSOPERFORMING THE SAME TASKS FOR OTHER LFD WHOLESALERS.)
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 SHAWN THOMAS KESTERSON, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.