Were you the victim of former Centaurus Financial, Inc. broker William Rowett III (CRD# 5118940)? He was registered with Centaurus Financial, Inc. in Derry, New Hampshire, from 2020 to 2026, when he was terminated regarding, “Upon receipt of an arbitration filed by a family member of the registered representative, the Firm initiated an internal review based on the allegations in the statement of claim. During the review, the Registered Representative reported that he had received payments directly from the family member, who also maintained customer accounts at the Firm. The circumstances described by the Registered Representative regarding the transfers raised concerns regarding compliance with Firm policies governing financial dealings with customers. The Firm placed the Registered Representative on suspension from conducting securities and investment activities while it conducted a further review. The Firm has not determined the nature or purpose of the reported transfers and has not made a determination as to their characterization. The registered representative was terminated based on concerns arising from the reviewed transactions and the registered representative’s statements during the Firm’s review. The Firm’s internal review remains ongoing.” He was previously registered with Sagepoint Financial, Inc. in Sunapee, New Hampshire, from 2014 to 2019.
William Rowett III Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
February 2026. “The customer alleges that during the period August 2019 through September 2022, the Registered Representative’s investment recommendations, and/or strategy, and/or transactions violated FINRA rules 2010, 2020, 2090, and 2011.” The case is currently pending.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Centaurus Financial, Inc. may be liable for investment or other losses suffered by William Rowett III’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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