JOEL DANIEL HARWORTH is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 818 NORTH MOUNTAIN AVE., SUITE #200, UPLAND, CA, 91786.
JOEL DANIEL HARWORTH has worked at CENTAURUS FINANCIAL, INC. since April 15, 2016
Disclosure History
JOEL DANIEL HARWORTH has 2 Disclosure Event(s).
Date: May 11, 2015 Category: Employment Separation After Allegations Firm Name: Wescom Financial Service Termination Type: Discharged Allegations: Being POA on client account. son's listed as beny, In-kind transfers to advisory accounts, client wrote checks to me to sponsor golf tournaments Broker Comment: All situations except the checks to me where things that were brought to compliance and approved. the POA was denied after completed and immediately cancelled. all Money was accounted for the transactions I completed.
Date: November 21, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT REP SOLD VARIABLE ANNUITY WITHIN AN IRA WITHOUT EXPLAINING TERMS, CONDITIONS, FEES, AND PENALTIES Damage Amount Requested: $9,749.82 Broker Comment: COMPLAINT RECEIVED FROM CA DEPT. OF FINANCIAL INSTITUTIONS; REPLIED TO CLIENT & COPIED CA DFI. CLIENT ALLEGED VA SALE WAS WRONG BECAUSE HE HEARD ON A TV SHOW THAT VA SALES WITH IRAS WERE "DISHONEST". WANTED "OUT" WITHOUT PAYING PENALTIES (NO SPECIFIC AMOUNT ALLEGED). PAPERWORK CLEARLY SUPPORTS REP'S RECOMMENDATION. FURTHER, CLIENT CLAIMES HE TRIED TO CONTACT HARWORTH FOR "SEVERAL WEEKS" DURING JULY-AUG. 2008. HE KNEW HOW TO CONTACT HARWORTH, BUT NO CALLS WERE RECEIVED DURING THIS TIME. U-4 AMENDMENT FILING BASED ON SURRENDER CHARGE OF $9749.82 AS OF 12/5/08. RESEARCHED AND SENT DENIAL LETTER TO CLIENT ON 12/5/08 PER CA DFI INSTRUCTIONS.
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