THOMAS DEAN HART

THOMAS DEAN HART is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 15985 EAST HIGH STREET, MIDDLEFIELD, OH, 44062.

THOMAS DEAN HART has worked at LPL FINANCIAL LLC since October 11, 2011

Disclosure History

THOMAS DEAN HART has 1 Disclosure Event(s).

Date: April 14, 2015
Category: Customer Dispute
Allegations: CUSTOMER SEEKS REVERSAL OF $400,000 VARIABLE ANNUITY INVESTMENT. CUSTOMER CLAIMS THAT INVESTMENT RETURNS ARE LESS THAN HE UNDERSTOOD.

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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