WA securities regulator final order naming a team member (Sep 11, 2017)
Washington State Department of Financial Institutions, Securities Division (DFI) issued a Final Order dated Sep 11, 2017. Respondents as listed: Citium Wealth Management, LLC and J. Todd Larson. Outcome as listed: On September 11, 2017, the Securities Division entered Final Order S-17-2222-17-FO01 against Citium Wealth Management, LLC (CRD no. 138593) and J. Todd Larson (CRD no. 5073565) (“Final Order”). … The Final Order revokes Respondents’ registrations; imposes a fine; and charges costs.. Matched to J. Todd Larson (listed on the same filings). Our match estimate: 70%.
What this means A state regulator issued an order (cease-and-desist, consent order, fine or bar). Read the order; ask the sponsor what it covered.
Sources
- WA order · Final Order ↗ (Sep 11, 2017)
- J. Todd Larson — PartnerFacts page ↗