Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Georgia-based LPL Financial broker/adviser Cathleen Stevens has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Stevens (CRD# 2394642).
Cathleen Stevens has spent 24 years in the securities industry and has been registered with LPL Financial in Roswell, Georgia since 2011. Previous registrations include Securities America in Atlanta, Georgia (2003-2011) and Veravest Investments in Worcester, Massachusetts (1993-2003). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on October 26, 1995; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on October 7, 1993; Series 7 (General Securities Representative Examination), which she obtained on May 19, 1998; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on September 22, 1993. She is a registered broker and investment adviser with nine US states: California, Florida, Georgia, Illinois, North Carolina, Oregon, South Carolina, Texas, and Virginia.
According to her BrokerCheck report, she has received one customer complaint and one pending customer complaint.
In November 2017 a customer alleged Cathleen Stevens, while employed at LPL Financial, recommended an unsuitable Jackson National variable annuity product. The customer is seeking $6,000 in damages in the pending complaint.
In 2010 a customer alleged Cathleen Stevens, while employed at Securities America, made unsuitable investment recommendations and negligent misrepresentations of material facts in connection to medical capital securities. The complaint, in which she was not a named respondent, settled in 2011 for more than $343,500.
If you have lost money investing with Cathleen Stevens, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.