TOM DANIEL ELLIS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 735 University Avenue, suite 1, Sacramento, CA, 95825.
TOM DANIEL ELLIS has worked at LPL FINANCIAL LLC since September 08, 2009
Disclosure History
TOM DANIEL ELLIS has 2 Disclosure Event(s).
Date: February 06, 2017 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGED UNSUITABLE RECOMMEMDATION IN SURRENDER OF VARIABLE ANNUITY.
Date: September 12, 2014 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT FINANCIAL ADVISOR DID NOT TIMELY FOLLIOW INSTRUCTIONS TO LIQUIDATE ACCOUNT WHICH RESULTED IN LOSSES. Damage Amount Requested: $84,523.00 Settlement Amount: $26,000.00
More Information
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