THOMAS C RUSSELL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1690 SHERIDAN DRIVE, KENMORE, NY, 14223.

THOMAS C RUSSELL has worked at LPL FINANCIAL LLC since June 14, 2010

Disclosure History

THOMAS C RUSSELL has 1 Disclosure Event(s).

Date: January 03, 2018
Category: Customer Dispute
Allegations: 4.Customer alleges that during late-2013 and early-2014 advisor negligently allowed customer's then-spouse to request withdrawals from her IRA without sufficient authorization.
Broker Comment: Rep denys these allegations. Every cash withdrawal was spoken for and signed by the client.

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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