THOMAS ROBERT SWEET is currently employed as a Broker and/or Investment Adviser at PACKERLAND BROKERAGE SERVICES, INC. located at 32 S TERI LANE, HARTFORD, WI, 53027.
THOMAS ROBERT SWEET has worked at PACKERLAND BROKERAGE SERVICES, INC. since February 20, 2018
THOMAS ROBERT SWEET has 1 Disclosure Event(s).
Date: August 11, 1999 Category: Customer Dispute Allegations: CLIENT MOVED MONEY INTO A VARIABLE ANNUITY FROM THREE MUTUAL FUNDS TO PROVIDE BETTER DIVERSIFICATION AND LOWER OVERALL RISK (APPROACHING RETIREMENT). MONEY WAS TO BE SELF-DIRECTED BY CLIENT AND MYSELF. AMERICAN SKANDIA AND WMA DECIDED (WITHOUT NOTICE TO ME) THAT THEY WERE DECIDING INVESTMENTS WITHIN THE ASSET ALLOCATION PRODUCT. THEY CHOSE VALUE ORIENTATION- GROWTH WAS WHAT CUSTOMER AND I CHOSE- GROWTH WAS THE PLACE TO BE. CLIENT WAS UNHAPPY WITH INVESTMENT RESULTS, AND I WAS IN HIS CORNER. I SUBSEQUENTLY LEFT WMA, AND WAS PRECLUDED FROM SERVICING THE BUSINESS. I TRIED TO DO THIS FROM THE "SIDELINES" BY MEETING WITH THE CLIENT SEVERAL TIMES, AND EVEN MOVED HIM SUCCESSFULLY FROM VALUE TO GROWTH. HE WAS SUBSEQUENTLY MOVED BACK TO VALUE BY WMA. CLIENT CALLED SKANDIA AND GROUSED. HE WAS TOLD IF HE DIDN'T LIKE IT, HE COULD FILE A COMPLAINT, WHICH HE DID, NOT KNOWING IT WAS AGAINST ME. WHEN TOLD HE COULD NOT MOVE FROM THE PRODUCT WITHOUT SURRENDER CHARGES, HE GOT UPSET, AND AT THAT POINT INCLUDED ME.SUBSEQUENTLY TO THIS, HE WITHDREW THE COMPLAINT. I AM SURMISING THAT HE BECAME COMFORTABLE WITH THE INVESTMENT RETURNS. I HAVE NOT CONTACTED HIM TO DETERMINE THIS, AS I WAS ASKED NOT TO.
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