THOMAS STEPHEN HADDEN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 973 S. WESTLAKE BLVD., SUITE 200, WESTLAKE VILLAGE, CA, 91361.
THOMAS STEPHEN HADDEN has worked at LPL FINANCIAL LLC since August 22, 2012
Disclosure History
THOMAS STEPHEN HADDEN has 1 Disclosure Event(s).
Date: December 29, 2008 Category: Customer Dispute Allegations: THE CLIENT FILED A COMPLAINT WITH THE SEC THAT WAS RECEIVED BY CFS ON 12/29/08. THE CLIENT ALLEGED THAT THEIR CFS REPRESENTATIVE DID NOT PROPERLY EXPLAIN THE VARIABLE ANNUITY SOLD AND THAT SHE DID NOT RECEIVE ADEQUATE SERVICE ON THEIR CONTRACT. CFS HAS REVIEWED THIS MATTER AND HAS FOUND NO MERIT TO THE CLIENT'S ALLEGATIONS. ACCORDINGLY, CFS RESPONDED TO THE CLIENT IN WRITING ON 1/9/09 DENYING THIS COMPLAINT. Damage Amount Requested: $10,000.00
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