STEPHEN ROGER DIERKS

STEPHEN ROGER DIERKS is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 5585 ERINDALE DR, SUITE 102, COLORADO SPRINGS, CO, 80918.

STEPHEN ROGER DIERKS has worked at ROYAL ALLIANCE ASSOCIATES, INC. since March 01, 2007

Disclosure History

STEPHEN ROGER DIERKS has 1 Disclosure Event(s).

Date: February 06, 2013
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED FRONT LOAD SALES CHARGES PERTAINING TO CLASS A MUTUAL FUND PURCHASES WERE NOT DISCLOSED PRIOR TO PURCHASE.

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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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