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Andrea Mathison Fired from LPL Financial

Andrea Mathison (CRD #: 2822634), a broker registered with San Blas Securities, was fired from her previous firm, according to her BrokerCheck record, accessed on November 11, 2022. Read on if you have questions about Andrea Mathison’s conduct as a broker.

Termination from LPL Financial

On October 12, 2022, Andrea Mathison was fired from LPL Financial after allegedly executing discretionary transactions in two client accounts without written authorization.

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which limits brokers to engaging in discretionary trading in pre-authorized discretionary accounts. Unauthorized trading is one of the top 15 most common allegations in investor disputes, according to FINRA dispute resolution statistics.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Andrea Mathison has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Andrea Mathison is a registered broker in Montana, Oregon, South Dakota, and Washington.

She has also worked for the following firms:

  • LPL Financial (CRD#:6413)
  • National Planning Corporation (CRD#:29604)
  • AIG Financial Advisors (CRD#:133763)
  • Primevest Financial Services (CRD#:15340)
  • Fintegra (CRD#:16741)
  • SunAmerica Securities (CRD#:20068)
  • EBI Securities Corporation (CRD#:16184)

Kurta Law Can Help

If you worked with Andrea Mathison and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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