SMITHA THOMAS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 10703 Preston Rd, Dallas, TX, 75230.
SMITHA THOMAS has worked at LPL FINANCIAL LLC since February 02, 2016
Disclosure History
SMITHA THOMAS has 1 Disclosure Event(s).
Date: March 09, 2004 Category: Customer Dispute Allegations: REGARDING THE 1/24/03 VARIABLE UNIVERSAL LIFE POLICY, THE CLIENT ALLEGES FAILURE TO DISCLOSE ADMINISTRATION FEES. THIS MATTER IS BEING REPORTED BECAUSE THE COMPLAINT HAS ALLEGED NO DOLLAR AMOUNT AND THE FIRM HAS NOT MADE A GOOD FAITH DETERMINATION THAT THE DAMAGES FROM THE ALLEGED CONDUCT WOULD BE LESS THAN $5,000. Broker Comment: THE COMPANY TURNED DOWN THE CLAIM. THIS MATTER IS BEING REPORTED CONSISTENT WITH NASDR RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.
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