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Curtis Krueger Facing Unsuitable Investment Allegations

Apr 6, 2022 Unsuitable Investments

Curtis Krueger (CRD #: 2237386), a broker registered with LPL Financial LLC, is facing allegations of unsuitable investment recommendations. This information is from Curtis Krueger’s BrokerCheck record, accessed on March 27, 2022. You can find more information below about Curtis Krueger’s conduct as a broker.

Unsuitable Investment Allegations

On February 8, 2022, an investor alleged that Curtis Krueger recommended unsuitable investments. The firm denied the dispute, but investors should know that firms can deny disputes without any external review. Investors should know that they can still pursue FINRA arbitration and recover their losses following a denial.

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

  • Age
  • Financial goals
  • Risk tolerance
  • Time horizon (i.e., how long the investor plans to hold the investment)
  • Investing experience
  • Tax status

Background Information

Curtis Krueger has passed the following exams:

  • Series 65 - Uniform Investment Adviser Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 55 - Limited Representative-Equity Trader Exam
  • Series 7 - General Securities Representative Examination
  • Series 24 - General Securities Principal Examination
  • Series 4 - Registered Options Principal Examination

He is registered as a broker in eight states. He is a registered investment adviser in Nebraska.

In addition to LPL Financial and Gladstone Wealth Partners, Curtis Krueger has worked for the following firms:

  • Silverleaf Advisor Group (CRD #: 286071)
  • Wealthplan Partners (CRD#:158935)
  • Waddell & Reed (CRD#:866)
  • TD Ameritrade, Inc. (CRD#:7870)
  • Amerivest Investment Management, LLC (CRD#:111514)
  • Ameritrade, Inc. (CRD#:5633)
  • Ameritrade Northwest, Inc. (CRD#:10215)
  • Ameritrade (CRD#:36559)
  • Accutrade Inc. (CRD#:13564)
  • Nebraska Hudson Company, Inc. (CRD#:27501)
  • Ameritrade Institutional Services, Inc. (CRD#:22578)

Kurta Law Can Help

If you worked with Curtis Krueger and 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.