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Kathleen Hansen Terminated by LPL Financial

Kathleen Hansen (CRD #: 1372264) was fired by LPL Financial. She is currently registered with the Financial Planning Department. This termination appears on her BrokerCheck record, accessed on January 12, 2024. Keep reading if you have questions regarding her alleged conduct. 

On December 1, 2023, LPL Financial fired Kathleen Hansen following allegations that she acted as a trustee for a non-family member without firm approval. 

FINRA Rule 3241

FINRA Rule 3241 prohibits brokers from being named as a beneficiary, executor, or trustee or holding other positions of trust for a client, except under certain circumstances, such as when the broker is the customer’s immediate family member. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3241 also violate this rule. 

Background Information 

Kathleen Hansen 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
  • Series 24 General Securities Principal Examination 

During her 38 years of experience, she has registered with nine firms. 

  • LPL Financial (CRD #: 6413) 
  • Cetera Advisor Networks (CRD #: 13572) 
  • Girard Securities (CRD #: 18697) 
  • SagePoint Financial (CRD #: 18697) 
  • Sentra Securities (CRD #: 10249) 
  • Hornor Townsend & Kent (CRD #: 4031) 
  • Granite Capital (CRD #: 15219) 
  • Planner’s Independent Management (CRD #: 10547) 
  • Ronson Securities Corporation (CRD #: 10114) 

Kurta Law Can Help 

If you have worked with Kathleen Hansen and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.