CARL MARTIN FELLHAUER is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 1525 N NEWPORT DRIVE, COLORADO SPRINGS, CO, 80916.
CARL MARTIN FELLHAUER has worked at CETERA ADVISORS LLC since June 29, 1999
Disclosure History
CARL MARTIN FELLHAUER has 2 Disclosure Event(s).
Date: October 01, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGE MISREPRESENTATION OF THE VUL POLICY.
Date: November 12, 2001 Category: Customer Dispute Allegations: ALLEGES SHE CONTACTED MY ASSISTANT ON 09/12/01 WHILE I WAS STRANDED IN CANADA AND INSTRUCTED TO SELL OUT ALL HER DAUGHTERS MUTUAL FUNDS AND MOVE TO MONEY MARKET. I TRADED ACCT. ON 09/21/01 AFTER TALKING WITH CLIENT ON 09/20/01. SHE IS ASKING FOR $8049.99 BECAUSE I DID NOT TRADE UNTIL AFTER SPEAKING WITH HER. Damage Amount Requested: $8,049.99 Broker Comment: CUSTOMER CALLED MY OFFICE ON 09/12/01 TELLING MY ASSISTANT TO HAVE ME CALL WHEN I WAS ABLE TO RETURN TO USA. I CALLED HER RESTAURANT ON 09/17/01 AND WAS INFORMED THAT SHE WAS NOT IN. I SPOKE WITH HER BY PHONE ON 09/19/01, EXPLAINED DIVERSIFIED PORTFOLIO, SHE AGREED TO STAY THE COURSE. CALLED AFTERNOON OF 09/20/01, COULD NOT SLEEP, LIQUIDATE WHEN MARKET OPENS. I LIQUIDATED MORNING OF 09/21/01.
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