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LPL Financial Fires Nathaniel Adams

Nathaniel Adams (CRD #: 5703267), a broker formerly registered with LPL Financial, was fired from the firm, according to his BrokerCheck record, accessed on November 11, 2022. If you have questions about his conduct as a broker, read on.

Termination from LPL Financial

On September 23, 2022, Nathaniel Adams was fired from LPL Financial after allegedly improperly transmitting client information from a former broker-dealer.

FINRA Rule 2010

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

Regulation S-P

Regulation S-P requires firms to provide investors with privacy policies that disclose how their personal information will be shared with third parties.

Background Information

Nathaniel Adams has passed the following exams:

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

He previously worked for the following firms:

  • LPL Financial (CRD#:6413)
  • Infinex Investments (CRD#:35371)
  • Investors Capital Corporation (CRD#:30613)
  • Waddell & Reed (CRD#:866)

Kurta Law Can Help

If you worked with Nathaniel Adams 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.