TIMOTHY STEVEN WEST is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1240 BROADCASTING RD, WYOMISSING, PA, 19610.

TIMOTHY STEVEN WEST has worked at LPL FINANCIAL LLC since December 21, 2015

Disclosure History

TIMOTHY STEVEN WEST has 1 Disclosure Event(s).

Date: June 24, 2016
Category: Customer Dispute
Allegations: Client bought a VA in May 2015. Client alleges he advised FC he didn't want anything to do with the stock market. Alleges FC showed the Jackson policy and advised client would never have to worry about the market again. Client was not informed of high fees and expenses. Although client did not understand the policy he went ahead and bought it was he trusted the FC and the Bank.
Damage Amount Requested: $11,668.33
Settlement Amount: $8,577.78

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.

To view the full report for TIMOTHY STEVEN WEST, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.