Articles Tagged with Centaurus Financial

Katherine NishnicPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that South Carolina-based Centaurus Financial broker/adviser Katherine Nishnic has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Nishnic (CRD# 2499553).

Katherine Nishnic has spent 24 years in the securities industry and has been registered with Centaurus Financial in Lexington, South Carolina since 2015. Previous registrations include JP Turner & Company in Lexington, South Carolina (2010-2015); Gunnallen Financial in Lexington, South Carolina (2008-2010); First Allied Securities in Lexington, South Carolina (2000-2008); DE Frey & Company in Denver, Colorado (1997-2000); and Merrill Lynch in New York, New York (1994-1997). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on May 15, 1995; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which she obtained on August 19, 1994. She is a registered broker and investment adviser with 12 US states: Arizona, Colorado, Delaware, Florida, Georgia, Maryland, Missouri, Nevada, North Carolina, Oklahoma, South Carolina, and Tennessee.

According to her BrokerCheck report, she has received two pending customer complaints and one customer complaint that was closed with no action taken.

Ricky ManteiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that South Carolina-based Centaurus Financial broker/adviser Ricky Mantei has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mantei (CRD# 1098981).

Ricky Mantei has spent 35 years in the securities industry and has been registered with Centaurus Financial in Lexington, South Carolina since 2015. Previous registrations include JP Turner & Company in Lexington, South Carolina (2010-2015); Gunnallen Financial in Lexington, South Carolina (2008-2010); First Allied Securities in Lexington, South Carolina (2000-2008); DE Frey & Company in Denver, Colorado (1995-2000); and Merrill Lynch in New York, New York (1983-1995). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 8, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on May 25, 1983; Series 5 (Interest Rate Options Examination), which he obtained on March 30, 1983; Series 7 (General Securities Representative Examination), which he obtained on February 19, 1983; and Series 24 (General Securities Principal Examination), which he obtained on July 15, 1997. He is a registered broker and investment adviser with three US states: Georgia, South Carolina, and Tennessee.

According to his BrokerCheck report, he has received four customer complaints and two pending customer complaints.

Bill BurksPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Texas-based Centaurus Financial broker/adviser William Burks II, also known as Bill Burks, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Burks (CRD# 2944992).

William Burks has spent 20 years in the securities industry and has been registered with Centaurus Financial in Flower Mound, Texas since 2000. He was previously registered with PFS Investments in Duluth, Georgia (1997-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 23, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 18, 1997; Series 7 (General Securities Representative Examination), which he obtained on February 18, 2009; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 17, 1997; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on December 8, 2003. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Florida, Kansas, Louisiana, Maryland, Minnesota, North Carolina, Tennessee, Texas, Utah, and Washington.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and four customer complaints that were closed or denied.

James DavisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that California-based Centaurus Financial broker/adviser James Davis has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1530880).

James Davis has spent 31 years in the securities industry and has been registered with Centaurus Financial in San Francisco, California since 2006. Previous registrations include Securities America in San Francisco, California (1990-2006); Royal Alliance Associates in Jersey City, New Jersey (1989-1990); Integrated Resources Equity Corporation (1987-1989); Financial Planners Equity Corporation (1986-1987); and Cypress Capital Corporation (1986). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 23, 1987; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986; and Series 24 (General Securities Principal Examination), which he obtained on April 16, 1987. He is a registered broker and investment adviser with two US states: California and New York.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint, and he has been named in an investigation by state regulatory authorities.