Trent Bryson Facing a Retirement Plan Dispute

Trent Bryson (CRD #: 4079384), a broker registered with LPL Financial, has a suitability dispute on his record. This disclosure appears on his BrokerCheck record, accessed on August 22, 2023. 

On June 13, 2023, an investor alleged that Trent Bryson recommended an unsuitable retirement plan. The alleged activity took place from July 2011 to June 2023. The investor is seeking $60,000. 

What is an Unsuitable Investment?

Retirement plans could be unsuitable for a variety of reasons. FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

• Age
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status

Investors who rely on brokers for recommendations may be able to recover their losses by pursuing FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Recommending an unsuitable retirement plan may violate this rule. 

Background Information 

Trent Bryson has passed the following exams: 

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

He is a registered broker in 24 states and is a registered investment adviser in California, Colorado, Kentucky, Nevada, New Jersey, Texas, and Washington. 

Trent Bryson has registered with the following firms: 

• LPL Financial (CRD #: 6413) 
• Global Retirement Partners (CRD #: 172011) 
• Independent Financial Partners (CRD #: 125112) 
• NRP Advisors (CRD #: 141430) 
• NRP Financial (CRD #: 103717) 
• Ameritas Investment Corp (CRD #: 14869) 
• Carillon Investments (CRD #: 14646) 
• Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 

Kurta Law Can Help

If you worked with Trent Bryson 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 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.