Investors might have sustained losses due to securities broker Terri Lynn Fassi (also known as Terri Phelps and Terri Wojcicki) [CRD: 2526113, Windsor, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terri Fassi worked for Centaurus Financial Inc. in Windsor, Colorado, beginning January 3, 2007, as a securities broker and beginning April […]

Investors potentially experienced sales practice violations by securities broker Joel Daniel Harworth [CRD: 3131373, Prescott Valley, Arizona], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Harworth worked for Centaurus Financial Inc. beginning April 13, 2016, as a financial advisor and beginning April 15, 2016, as a securities broker. Investors […]

Investors have reportedly disputed the sales practices of securities broker Sean Burr [CRD: 6421939, West Hills, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sean Burr worked for Centaurus Financial Inc. starting April 22, 2015, as a broker and June 8, 2015, as a financial advisor. Keep reading to discover more about […]

Investors potentially experienced sales practice violations by securities broker James V. Peters (also known as Jim Peters) [CRD: 2665577, Costa Mesa, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peters has worked for Centaurus Financial Inc. since May 7, 2012 as a broker and since May 22, 2012 as a […]

Investors have reportedly disputed the sales practices of securities broker Michael Glenn Seymour (also known as Mike Seymour) [CRD: 1597042, Winter Haven, Florida], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Seymour worked for Centaurus Financial Inc. from July 26, 2016, to the present, and Ingram Advisory Services LLC from […]

Investors potentially incurred losses because of securities broker Brett Franklin Ewing [CRD: 2904608, Palm Coast, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ewing has been registered with Centaurus Financial Inc. since July 9, 2007, and he has been registered there as a financial advisor since January 17, 2008. Read […]

Investors have reportedly disputed the sales practices of securities broker Timothy Patrick Sweeney [CRD: 2669172, Santa Barbara, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Sweeney has worked for Centaurus Financial Inc. beginning on September 9, 2015, and previously worked for Raymond James Financial Services Inc. during earlier periods of his […]

Investors potentially incurred losses because of securities broker Carey Allen James [CRD: 1420763, Arroyo Grande, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James worked for Centaurus Financial Inc. beginning on August 19, 2004, as a securities broker and later as a financial advisor starting September 10, 2009. Investors are […]

Investors have reportedly disputed the sales practices of securities broker Richard George Hubert DePalma [CRD: 4517536, Erie, Pennsylvania], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DePalma has been registered with Centaurus Financial Inc. as a securities broker since October 31, 2007, and as a financial advisor since May 27, 2010. […]