TRACY RENEE HARDIN is currently employed as a Broker and/or Investment Adviser at PRIVATE CLIENT SERVICES, LLC located at 5140 CHARLESTOWN RD, SUITE 3A, NEW ALBANY, IN, 47150.
TRACY RENEE HARDIN has worked at PRIVATE CLIENT SERVICES, LLC since January 04, 2010
Disclosure History
TRACY RENEE HARDIN has 1 Disclosure Event(s).
Date: September 22, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT A VARIABLE ANNUITY SALE WAS UNSUITABLE. THE SALE OCCURED IN NOVEMBER 2005 AND THE COMPLIANT WAS RECEIVED BY THE FIRM ON SEPTEMBER 22, 2006. Damage Amount Requested: $5,894.51 Broker Comment: MY CLIENT AND I DISCUSSED AND PLANNED ON MOVING HER INDIVIDUAL STOCK PORTFOLIO TO AN ANNUITY WITH LESS VOLATILITY AND DEATH BENEFIT GUARANTEES FOR A PERIOD OF 3 1/2 YEARS, WHILE WAITING UNTIL SHE RECOVERED COME OF HER LOSSES INCURRENT PREVIUOSLY. NINE MONTHS AFTER THE ANNUITY WAS ISSUED SHE WAS TOLD BY A RELATIVE/FINANCIAL PLANNER THAT SHE "COULD DO BETTER." HE DRAFTED A LETTER THAT SHE SIGNED. IN MY CONVERSATION WITH HER AFTERWARDS, SHE STATED THAT SHE "DID NOT UNDERSTAND THE LETTER," BUT THAT "HE HAD EXPLAINED A COUPLE OF THINGS TO HER." AFTER A COMPLETE REVIEW BY MY COMPLIANCE DEPARTMENT, THEY HAVE DETERMINED THAT I DID A THOROUGH RISK AND GOAL EVALUATION AND A SUITABLE INVESTMENT DECISION WAS MADE
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