ALAN LEE EVERHART is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 2300 E. KATELLA AVENUE, SUITE #200, ANAHEIM, CA, 92806.
ALAN LEE EVERHART has worked at CENTAURUS FINANCIAL, INC. since October 14, 2002
Disclosure History
ALAN LEE EVERHART has 3 Disclosure Event(s).
Date: May 05, 2003 Category: Customer Dispute Allegations: CLIENT PURCHASED A VARIABLE ANNUITY AND MUTUAL FUNDS IN SEPTEMBER 2000. CLIENT WAS UNHAPPY WHEN ACCOUNTS BEGAN TO GO DOWN DUE TO GENERAL MARKET DECLINE. CLIENT SURRENDER HER VARIABLE AND PAID 15,000.00 AT THE ADVICE OF HER NEW REP. CLIENT WAS UPSET WHEN BOTH HER AXA REPS LEFT AXA AND NO ONE WAS ASSIGNED TO HER ACCOUNTS. Damage Amount Requested: $100,000.00 Settlement Amount: $37,038.11 Broker Comment: THE CLAIM WAS SETTLED BY EQUITABLE LIFE WITHOUT ANY RESPONSE OR INPUT FROM THE REGISTERED REPRESENTATIVE OR THE ERRORS AND OMISSIONS INSURANCE CARRIER. THIS INFORMATION WAS NEVER REPORTED TO REP.
Date: November 13, 2002 Category: Regulatory
Date: September 20, 2002 Category: Employment Separation After Allegations Firm Name: AXA ADVISORS, LLC Termination Type: Permitted to Resign Allegations: I LOANED TWO CLIENTS MONEY TO PAY FOR THE FIRST MONTH PREMIUM ON WHOLE LIFE INSURANCE POLICIES Broker Comment: I LOANED 2 CLIENT'S (FRIEND'S) MONEY TO PAY FOR THE FIRST MONTH PREMIUM ON WHOLE LIFE INSURANCE POLICIES.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ALAN LEE EVERHART, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.