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Edward Charton Fired from LPL Financial

Edward Charton (CRD #: 1176323), a broker registered with Ameriprise Financial Services, was fired from his previous firm, according to his BrokerCheck record, accessed on July 24, 2022. Read on if you want to know more about Edward Charton’s conduct as a broker.

Discharge from LPL Financial

On June 10, 2022, LPL Financial fired Edward Charton after he allegedly failed to disclose his trustee role to the firm in a timely manner and later acted as trustee after the firm expressed its disapproval.

Other Business Activities

Edward Charton’s detailed BrokerCheck record does not list any outside business activities.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to disclose any business activities they take part in outside of their firm. Brokers must disclose their role in the business as well as any compensation they expect to receive.

FINRA Rule 3241 

FINRA Rule 3241 states that brokers must disclose any trustee or beneficiary relationship they have with a client. 

Background Information

Edward Charton has passed the following exams:

  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Edward Charton is a registered broker in California and Oregon. He is also a registered investment adviser in California and Texas.

He has also worked for the following firms:

  • LPL Financial (CRD#:6413)
  • Kestra Advisory Services (CRD#:283330)
  • Kestra Investment Services (CRD#:42046)
  • Financial Network Investment Corporation (CRD#:13572)
  • Fortis Investors (CRD#:421)
  • FMS Securities (CRD#:14356)
  • Robert C. Lau and Company (CRD#:10675)

Kurta Law Can Help

If you worked with Edward Charton and you have concerns about your investments, please contact us today at 877-600-0098 or 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.