NATHAN ROGERS WOODBURY is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 2225 E. MURRAY HOLLADAY ROAD, SUITE #106, HOLLADAY, UT, 84117.
NATHAN ROGERS WOODBURY has worked at CENTAURUS FINANCIAL, INC. since January 05, 2012
NATHAN ROGERS WOODBURY has 3 Disclosure Event(s).
Date: March 10, 2014 Category: Customer Dispute Allegations: UNSUITABLE AND EXCESSIVE TRADING RESULTING IN LOSSES. Damage Amount Requested: $150,000.00 Settlement Amount: $10,000.00 Broker Comment: I VEHEMENTLY DENY ANY WRONGDOING SURROUNDING THE ALLEGATIONS MADE IN THIS ARBITRATION CLAIM. THE TRANSACTIONS ON WHICH THE CLAIM IS BASED WERE CLEARLY APPROPRIATE BASED ON THE CLIENT'S FINANCIAL SITUATION AT THE TIME THEY WERE MADE. I INTEND TO ZEALOUSLY DEFEND THE ALLEGATIONS OF THIS BASELESS CLAIM.
Date: March 29, 2010 Category: Employment Separation After Allegations Firm Name: AMERIPRISE FINANCIAL SERVICES, INC. Termination Type: Discharged Allegations: THE REPRESENTATIVE WAS TERMINATED FOR VIOLATING COMPANY POLICY RELATED TO INVESTMENT DISCRETION.
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 NATHAN ROGERS WOODBURY, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.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.
How to choose a broker or investment adviser. Learn More