TIMOTHY PIERCE WARD

TIMOTHY PIERCE WARD is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 16759 Main Street Suite 215, STE. 215, Wildwood, MO, 63040.

TIMOTHY PIERCE WARD has worked at LPL FINANCIAL LLC since March 17, 2008

Disclosure History

TIMOTHY PIERCE WARD has 1 Disclosure Event(s).

Date: November 01, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: FIRM HAS MADE A REASONABLE DETERMINATION THIS IS A REPORTABLE EVENT. DISCLOSURE IS THE RESULT OF A SHORT SALE OF HOME.

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.

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