WADE EMANUEL GRIBALDO

WADE EMANUEL GRIBALDO is currently employed as a Broker and/or Investment Adviser at INDEPENDENT FINANCIAL GROUP, LLC located at 9700 BUSINESS PARK DR, STE 204, SACRAMENTO, CA, 95827.

WADE EMANUEL GRIBALDO has worked at INDEPENDENT FINANCIAL GROUP, LLC since July 31, 2009

Disclosure History

WADE EMANUEL GRIBALDO has 1 Disclosure Event(s).

Date: November 05, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGES REP FAILED TO SEND NOTIFICATION THAT HE WAS NO LONGER MANAGING HIS ACCOUNT. THE SCHWAB A/C WAS ESTABLISHED SOMETIME AFTER AUGUST 31, 2000.
Damage Amount Requested: $5,000.00

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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.

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