T. MATT NICHOLS

T. MATT NICHOLS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7050 N FRESNO ST STE 105, FRESNO, CA, 93720-2975.

T. MATT NICHOLS has worked at LPL FINANCIAL LLC since May 04, 2011

Disclosure History

T. MATT NICHOLS has 1 Disclosure Event(s).

Date: July 16, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES HE DID NOT UNDERSTAND UVL AND DEATH BENEFIT. POLICY ISSUED APRIL 2005.
Broker Comment: CLIENT IS AN EDUCATED INVESTOR AND UNDERSTOOD MARKET RISK. REPRESENTATIVE RECOMMENDED GUARANTEE PRODUCT AND ALSO SHOWED VARIABLE PRODUCT. CLIENT CHOSE VARIABLE. CLIENT WAS SATISFIED UNTIL THE MARKET DOWNTURNED.

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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