ROBERT JAMES GILLETTE is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 5182 KATELLA AVENUE, SUITE #101, LOS ALAMITOS, CA, 90720.
ROBERT JAMES GILLETTE has worked at CENTAURUS FINANCIAL, INC. since September 30, 2015
Disclosure History
ROBERT JAMES GILLETTE has 1 Disclosure Event(s).
Date: July 09, 2004 Category: Employment Separation After Allegations Firm Name: UBS FINANCIAL SERVICES Termination Type: Permitted to Resign Allegations: MAILED $5 CASH TO CLIENT TO SATISFY HIS COMPLAINT REGARDING A SERVICE FEE THAT WAS CHARGED WHEN SHARES OF A CLOSED END FUND WERE SOLD AFTER DIVIDEND HAD BEEN INADVERTANTLY RE-INVESTED. Broker Comment: CLIENT COMPLAINED ABOUT NOT RECEIVING THE DIVIDEND WHICH HAD BEEN AUTOMATICALLY REINVESTED INTO CLOSED END FUND. 11 SHARES SOLD AT NO COMMISSION CHARGE, BUT FELT HE SHOULD NOT HAVE BEEN CHARGED THE $5 SERVICE FEE.
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