STEVEN W BARRETT

STEVEN W BARRETT is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 837 N. DOUGLAS STREET, EL SEGUNDO, CA, 90245.

STEVEN W BARRETT has worked at LPL FINANCIAL LLC since February 19, 2015

Disclosure History

STEVEN W BARRETT has 4 Disclosure Event(s).

Date: January 05, 2015
Category: Financial
Type: Compromise
Disposition: Discharged

Date: April 24, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: August 04, 2011
Category: Financial
Type: Compromise
Disposition: Discharged
Broker Comment: SETTLED FOR ORIGINAL AMOUNT OF DEBT OF $75.00

Date: September 14, 2009
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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