ORION KELLY WILLIS is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 13843 W. MEEKER BLVD., SUITE #105, SUN CITY WEST, AZ, 85375.
ORION KELLY WILLIS has worked at CENTAURUS FINANCIAL, INC. since November 08, 2013
Disclosure History
ORION KELLY WILLIS has 5 Disclosure Event(s).
Date: September 15, 2015 Category: Customer Dispute Allegations: THE POWER OF ATTORNEY (POA)FOR THE CUSTOMER ALLEGES THAT THE REPRESENTATIVE WAS UNPROFESSIONAL AND DID NOT PROVIDE TAX AND LEGAL REFERRALS OR A LIFE INSURANCE VALUATION. ADDITIONALLY, THE POA ALLEGES THAT THE CUSTOMER'S NEEDS WERE NOT ADDRESSED WHEN THE FUNDS WERE PRIMARILY USED TO PURCHASE AN INVESTMENT WITH SURRENDER CHARGES IN 2014. Damage Amount Requested: $130,000.00 Broker Comment: I vehemently denied any wrongdoing and asserted that the customer's allegations were completely without merit. I believe I've been vindicated. The customer and his POA were well aware of the nature of the investment of which he complained. The customer confirmed in writing that he not only received the requisite investment documentation, but that he and his POA also understood their content. The investments about which he complained were recommended based on the customer's objectives, goals and financial circumstances and were offered only after the customer's review of all material documentation related to the investment.At all times, I put the customer's interest first and would have vigorously defended this matter to the fullest extent of the law.
Date: February 13, 2015 Category: Customer Dispute Allegations: CLIENT DOES NOT BELIEVE THAT THE ACCOUNT INFORMATION WAS CORRECT ON AN INSURANCE CARRIER DOCUMENT. Broker Comment: I CATEGORICALLY DENY ANY WRONGDOING IN THIS MATTER AS THE CUSTOMER WAS FULLY AWARE OF THE INFORMATION SET FORTH IN THE INSURANCE CARRIER DOCUMENTS. THE CUSTOMER WAS PRESENT IN MY OFFICE WHEN SHE PERSONALLY PROVIDED THE INFORMATION FOR THEM. THEY WERE ALSO REVIEWED WITH HER AFTER THEY WERE COMPLETED BEFORE SHE SIGNED THE DOCUMENTS. THE CUSTOMER WAS FULLY AWARE OF THE CHARACTERISTICS OF THIS TRANSACTION AND ALSO SIGNED CUSTOMIZED DOCUMENTS SEPARATE FROM THE INSURANCE CARRIER DOCUMENTS TO ENSURE THIS UNDERSTANDING.
Date: February 11, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION OF PRODUCT PURCHASED. Damage Amount Requested: $5,000.00 Broker Comment: THE CLIENT IS ADAMANT THAT THE CORRESPONDENCE WAS NOT INTENDED AS A COMPLAINT. CLIENT WAS UNABLE TO REACH REPRESENTATIVE BECAUSE THE REP WAS IN THE HOSPITAL, SO THE CLIENT CONTACTED THE VENDOR WHO DEFINED THE CLIENT'S CONCERNS AS A COMPLAINT. THE FIRM OFFERED RESCISSION AS THE DEATH BENEFIT RIDER COULD NOT BE ADDED TO THE CONTRACT. THE CLIENT HAS CHOSEN TO MAINTAIN THE CONTRACT.
Date: October 16, 2009 Category: Criminal Charges: AGGRAVATED ASSAULT, A CLASS 3 DANGEROUS FELONY Disposition: Reduced Amended Charges: DISORDERLY CONDUCT AND RECKLESS DRIVING Amended Charge Type: MISDEMEANOR Amended Charge Amended Charge Disposition: GUILTY JUDGMENT Broker Comment: I WAS A TARGET IN A ROAD RAGE INCIDENT IN WHICH I HAD TO BRANDISH A LEGALLY OWNED FIREARM WHICH I ALSO HAD A CONCEALED CARRY PERMIT FOR, AND HAD TO DRIVE AT A HIGH SPEED TO AVOID AN ASSAILANT. THERE WERE NO INJURIES OR DAMAGES, BUT I AGREED TO THE SUBSTANTIALLY REDUCED CHARGES TO AVOID THE UNCERTAINTY OF LITIGATION AND LEGAL EXPENSES. ALL ALLEGATIONS OF DANGEROUSNESS WERE DROPPED.
Date: September 09, 1996 Category: Criminal Charges: ONE CLASS 5 FELONY COUNT OF CRIMINAL DAMAGE. PLEAD GUILTY TO A REDUCE CHARGE OF CLASS 1 MISDEMEANOR CRIMINAL DAMAGE. Charge Type: FELONY Disposition: A. CONVICTED OF CRIMINAL DAMAGE, A CLASS 1 MISDEMEANOR -- B. DECEMBER 12, 1996 -- C.& D. FINED $420.00 AND SENTENCED TO TWO YEARS PROBABTION OR UNTIL THE FINE WAS PAID IN FULL -- E. DECEMBER 12, 1996 -- F. FINE AMOUNT $420.00 -- G. FINE PAID IN FULL FEBRUARY 10, 1997 AND RELEASED FROM PROBATION. Broker Comment: THIS IS AN INCIDENT THAT OCCURRED IN MARCH 1996 WHEN I WAS A SENIOR IN HIGH SCHOOL. I WAS CITED FOR INVOLVEMENT IN A CHILDHOOD PRANK, AS I WAS A PASSENGER IN THE BACK SEAT OF THE VEHICLE THAT DESTROYED THE CARTS. AS A RESULT, IT WAS DETERMINED THAT I WAS NOT DIRECTLY INVOLVED, AND THE COURT REDUCED THE CHARGE FROM A FELONY TO A MISDEMEANOR. THE STATE OF ARIZONA HAS SINCE EXPUNGED THE MISDEMEANOR FROM RECORD.
More Information
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