STEVEN ROBERT SWANSON

STEVEN ROBERT SWANSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 10257 W. LINCOLN HWY, FRANKFORT, IL, 60423.

STEVEN ROBERT SWANSON has worked at LPL FINANCIAL LLC since September 02, 2016

Disclosure History

STEVEN ROBERT SWANSON has 1 Disclosure Event(s).

Date: April 09, 2012
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION REGARDING MANAGED ACCOUNT INVESTMENT. ACTIVITY DATES 11/03/2011-11/03/2011.
Damage Amount Requested: $45,000.00

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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