SUSAN ELIZABETH LENNON

SUSAN ELIZABETH LENNON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1311 LIVE OAK STREET, COMMERCE, TX, 75428-2577.

SUSAN ELIZABETH LENNON has worked at LPL FINANCIAL LLC since May 01, 2013

Disclosure History

SUSAN ELIZABETH LENNON has 1 Disclosure Event(s).

Date: April 14, 1980
Category: Criminal
Charges: THEFT UNDER $5
Disposition: Convicted
Broker Comment: THE APPLICANT STATES THAT SHE WAS TOLD BY A PRIOR FIRM THAT THIS EVENT WAS NOT REPORTABLE. THIS EVENT HAPPENED IN APRIL OF 1980 (OVER 33 YEARS AGO AS OF MAY 2013) AND INVOLVED AN ITEM THAT WAS LESS THAN $3. I TOOK RESPONSIBILITY, PAID A FINE, AND WAS IMMEDIATELY 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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