ATUL MAKHARIA is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 4580 SUNSET BLVD., LEXINGTON, SC, 29072.
ATUL MAKHARIA has worked at CENTAURUS FINANCIAL, INC. since May 19, 2015
ATUL MAKHARIA has 1 Disclosure Event(s).
Date: January 31, 2017 Category: Customer Dispute Allegations: CLIENT CLAIMS THEY WERE SOLD AN UNSUITABLE CD AND DID NOT RECEIVE A PROSPECTUS. Damage Amount Requested: $20,000.00 Broker Comment: The clients filed a written complaint with the State of South Carolina. The State presented the Firm with the complaint for analysis, review and response. After reviewing all of the relevant client information and transaction documents, the Firm responded to the State. Upon review of all paperwork/data submitted by the firm and the clients, the State closed its investigation with no further action recommended.
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.
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