Articles Tagged with Michael Hampton

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Michael Hampton

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 8, 2017 indicate that former California-based LPL Financial broker/adviser Michael Hampton was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hampton (CRD# 4349202).

Michael Hampton has spent 14 years in the securities industry and was most recently registered with LPL Financial in Orangeville, California (2015-2016). Previous registrations include Ameriprise Financial Services in Roseville, California; Wells Fargo Investments in Roseville, California; and First Union Securities in St. Louis, Missouri. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two FINRA sanctions.