Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 11, 2017 indicate that Minnesota-based Cetera Investment Services broker/adviser Kevin Larson has received customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Larson (CRD# 3067781).
Kevin Larson has spent 19 years in the securities industry and has been registered with Cetera Investment Services in Saint Cloud, Minnesota since 2014. Previous registrations include Fintegra in Minneapolis, Minnesota (2007-2014); Thrivent Investment Management in Minneapolis, Minnesota (2002-2007); and Lutheran Brotherhood Securities in Minneapolis, Minnesota (1998-2002). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); Series 4 (Registered Options Principal Examination); Series 53 (Municipal Securities Principal Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser in Minnesota.
According to his BrokerCheck report, he has received two customer complaints.
In 2016 a customer alleged Kevin Larson, while employed as a control person at Fintegra, “failed to place supervision structure in place to prevent a representative from selling promissory notes and unsuitable trading.” The complaint settled in 2017 for $7,500, and the disclosure contains this statement: “Larson strongly denies any wrongdoing. He did not supervise the registered representative or the office the registered representative was located at, but rather served as the CCO during the relevant period. Settlement was purely a cost of defense determination.”
In 2014 a customer alleged Kevin Larson, while employed at Fintegra, failed to supervise a representative who sold investments away from his member firm and unsuitable investment recommendations. The complaint settled in 2016 for $125,000.
If you have lost money investing with Kevin Larson, 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.