Investors potentially experienced sales practice violations by securities broker Clovis Mike Morrison [CRD: 1730240, Highland Village, Texas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Morrison has worked for Centaurus Financial Inc. from August 12, 1996, to the present in his capacity as a broker, and from January […]

Investors might have sustained losses because of securities broker Reynold Wayne Neufeld (also known as Rey Neufeld) [CRD: 827427, Indio, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Neufeld worked for Centaurus Financial Inc. from May 16, 2008, to July 9, 2021. See the following summary for details about Neufeld’s […]

Investors might have sustained losses because of securities broker Lisa Babin Mantei (also known as Lisa Lyn Babin-Mantei and Lisa Lyn Mantei) [CRD: 2230735, Lexington, South Carolina], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mantei worked for Centaurus Financial Inc. since May 19, 2015, and was also previously employed […]

Investors apparently complained about securities broker Atul Makharia [CRD: 5070762, Lexington, South Carolina], according to public information on FINRA BrokerCheck. Evidently, Makharia has been registered with Centaurus Financial Inc. since May 19, 2015, and also registered as an investment adviser representative with the same firm since April 29, 2024. Read on to learn more about […]

Investors potentially experienced sales practice violations due to securities broker Kelley Susan Slaught (also known as Kelley Smith) [CRD: 1126586, Santa Barbara, California], according to disclosures on FINRA BrokerCheck. It appears that Slaught joined Centaurus Financial Inc. on November 21, 2012, as a securities broker and on January 9, 2013, as a financial advisor. Below, […]

Investors potentially experienced sales practice violations due to securities broker Richard Dennis Laspaluto (also known as Rick Laspaluto) [CRD: 2541603, Las Vegas, Nevada], according to publicly available information on FINRA BrokerCheck. It appears that Richard Laspaluto joined Centaurus Financial Inc. on August 29, 2005, working as both a securities broker and financial advisor. Read the […]

One or more investors possibly experienced losses because of securities broker Donald Ray McFarland (also known as Don McFarland, Donnie McFarland, and Mac McFarland) [CRD: 1206382, Oklahoma City, Oklahoma], according to publicly available information on FINRA BrokerCheck. Notably, Donald McFarland worked for Centaurus Financial, Inc. from October 19, 2004 to December 16, 2021. Read the […]

One or more investors possibly experienced losses due to securities broker Patrick Roland Hobert [CRD: 805680, Newport Beach, California], according to public information reported on FINRA BrokerCheck. Patrick Hobert joined Centaurus Financial Inc. on July 9, 2007, serving in both securities broker and financial advisor roles. Read below to understand more about the client complaints […]

Investors may have incurred losses due to securities broker Stuart Jay Spivak [CRD: 1883651, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spivak joined Centaurus Financial Inc. on May 29, 2008, as a securities broker and on June 16, 2008, as a financial advisor. Keep reading to understand more about the […]