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 requires firms to provide investors with privacy policies that disclose how their personal information will be shared with third parties.
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 firstname.lastname@example.org 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.