THOMAS JOSEPH PARTRIDGE is currently employed as a Broker and/or Investment Adviser at CAPITAL FINANCIAL SERVICES, INC. located at 101 Woodhill Trail, Mankato, MN, 56001.
THOMAS JOSEPH PARTRIDGE has worked at CAPITAL FINANCIAL SERVICES, INC. since July 27, 2012
Disclosure History
THOMAS JOSEPH PARTRIDGE has 2 Disclosure Event(s).
Date: January 19, 2009 Category: Customer Dispute Allegations: COMPLAINT LETTER SENT DIRECTLY TO THE ISSUING INSURANCE COMPANY BY THE CLIENT WHO IS ALLEGING HE WAS MISLED ABOUT THE FEATURES OF THE ANNUITY. CLIENT STATES HE WANTED THE FUNDS IN CONSERVATIVE SUB ACCOUNTS AND HAS NOW LOST OVER $14,000.00 DUE TO MARKET Damage Amount Requested: $14,000.00 Broker Comment: I AM BEING HELD RESPONSIBLE FOR DECLINING MARKET WHEN THE OBJECTIVE WAS CLEARLY STATED THROUGH THE DISCOVERY PROCESS TO USE THIS FOR WEALTH TRANSFER UPON DEATH. CLIENT PURCHASED STEP-UP DEATH BENEFIT
Date: August 25, 2008 Category: Customer Dispute Allegations: COMPLAINT LETTER RECEIVED ALLEGING VARIABLE ANNUITY INVESTMENT WAS MISREPRESENTED Damage Amount Requested: $50,000.00 Broker Comment: CLIENT IS HOLDING ME RESPONSIBLE FOR THE NEGATIVE MARKET ENVIRONMENT. I HAVE NO CONTROL OVER SUB ACCOUNT PERFORMANCE IN THE VARIABLE ANNUITY. APPROPRIATE DISCLOSURES WERE PROVIDED TO THE CLIENT AT THE TIME OF THE RECOMMENDATION.
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