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Roger Gaddis Of Kestra Investment Services, Kestra Advisory Services And Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Roger Gaddis of Kestra Investment Services?

Roger Gaddis (CRD #1635364) who is currently registered with Kestra Investment Services and Kestra Advisory Services and located in Ada, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Investment Services and Kestra Advisory Services, Roger Gaddis was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Roger Gaddis Customer Complaints

Roger Gaddis has been the subject of 2 customer complaints that we know about.  Both of Roger Gaddis’ customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Roger Gaddis

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Client alleged Roger Gaddis’ recommended and unsuitable annuity investment.
  • Customer’s POA alleged that Roger Gaddis’ recommendation of annuitization method that was not provided in variable annuity contract did not result in the full death benefits and sought reimbursement of annuity payments that she alleged customer should receive.

Roger Gaddis Red Flags & Your Rights As An Investor

Of course, Roger Gaddis did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Roger Gaddis at Kestra Investment Services, Kestra Advisory Services, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Roger Gaddis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, Kestra Advisory Services, and LPL Financial also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Kestra Investment Services Due To Roger Gaddis

If you have questions about Kestra Investment Services, Kestra Advisory Services, LPL Financial, and/or Roger Gaddis and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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