Chad Turner (CRD #: 4152030), a broker and an investment adviser registered with LPL Financial, has multiple pending investor disputes, according to his BrokerCheck record, accessed on November 22, 2020.

On October 22, 2020, a client alleged that Chad Turner made omissions and recommended unsuitable investments and over-concentrated investments in their portfolio.

On July 15, 2020, a client alleged that Mr. Turner recommended an unsuitable closed-end mutual fund. The client further alleged that Chad Turner misrepresented this investment. The client is seeking $100,000; the dispute is pending.

Chad Turner has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in Alabama, California, Florida, Georgia, Indiana, New York, South Carolina, and Texas. He is also a registered investment adviser in Florida and Texas.

Aside from LPL Financial, Chad Turner has also worked at the following firms:

  • Wells Fargo Clearing Services (CRD #: 19616)
  • Prudential Securities Incorporated (CRD #: 7471)

If Chad Turner was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email for your free case consultation with a securities attorney.

Leave a Comment