WILLIAM SNUGGERUD

WILLIAM SNUGGERUD is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9800 SHELARD PARKWAY, SUITE 220, PLYMOUTH, MN, 55441.

WILLIAM SNUGGERUD has worked at LPL FINANCIAL LLC since February 05, 2016

Disclosure History

WILLIAM SNUGGERUD has 2 Disclosure Event(s).

Date: October 29, 2014
Category: Customer Dispute
Allegations: TIME FRAME: AUGUST 11, 2014 TO AUGUST 13, 2014THE CLIENT ALLEGES THAT HIS FINANCIAL ADVISOR ACCESSED HIS ACCOUNT PAGE AND ALTERED CERTAIN SECURITY PROTOCOLS.

Date: May 15, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT INVESTMENTS ARE INCONSISTENCE WITH HER INVESTMENT OBJECTIVES. TIME PERIOD UNSPECIFIED.
Damage Amount Requested: $110,000.00
Broker Comment: UBSPW DENIED THE MATTER ON 4/26/02 BASED ON ITS FINDING THAT CLIENT'S INVESTMENTS WERE CONSISTENT WITH HER STATED OBJECTIVE AND RISK PROFILE.

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 WILLIAM SNUGGERUD, click here.

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