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Thomas Lundgaard Subject of $275,000 Investor Dispute 

Jul 26, 2023 Investor Disputes

Thomas Lundgaard (CRD #: 2820129), a broker registered with Kestra Investment Services, is facing a six-figure investor dispute, according to his BrokerCheck record, accessed on July 21, 2023. For more detail, keep reading. 

On May 22, 2023, an investor alleged that Thomas Lundgaard failed to obtain the required documentation for a revocable trust. The investor is seeking $275,000; the dispute is pending. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to obtain documentation may violate this rule. 

Background Information 

Thomas Lundgaard has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered investment adviser and broker in Arizona. 

Thomas Lundgaard has worked for the following firms: 

  • SII Investments (CRD #: 2225) 
  • Householder Group, Estate & Retirement Specialists (CRD #: 107773) 
  • Sagepoint Financial (CRD #: 133763) 
  • SunAmerica Securities (CRD #: 20068) 

Kurta Law Can Help

If you worked with Thomas Lundgaard and you 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. 

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