The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Independent Financial Group broker/adviser Brett Hartvigson (CRD# 2263087).
Brett Hartvigson has spent 23 years in the securities industry and has been registered with Independent Financial Group in San Diego, California since 2009. Previous registrations include LPL Financial in SAn Diego, California (2008-2009); Thrivent Investment Management in Minneapolis, Minnesota (2002-2006); and Lutheran Brotherhood Securities in Minneapolis, Minnesota (1992-2002). He is a registered broker and investment adviser in seven US states: Arizona, California, Florida, Minnesota, New Jersey, Texas, and Washington.
According to his BrokerCheck report, Brett Hartvigson is the subject of three customer complaints and was discharged from his position at LPL Financial.
In 2009 a customer alleged Brett Hartvigson was discharged from his position at LPL Financial following allegations he circumvented firm policy with respect to variable annuity transactions.
In 2007 a customer filed a complaint against Hartvigson, while he was employed at Thrivent Investment Management, following allegations involving a “loss of liquidity when assets in brokerage account were moved to purchase fixed annuities and life insurance.” The complaint settled for more than $11,100.
In 2004 a customer alleged Brett Hartvigson, while employed at Lutheran Brotherhood Securities, did not inform them of the risk associated with a variable universal life insurance contract. The complaint settled for more than $750.
In 2002 a customer alleged Brett Hartvigson, while employed at Thrivent Investment Management, made an unsuitable recommendation. The complaint settled for more than $700.
If you have lost money investing with Brett Hartvigson or LPL Financial, you may be able to collect lost funds. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.