CENTAURUS FINANCIAL, INC. of ANAHEIM, CA is an SEC-registered investment adviser (CRD 30833). Regulatory assets under management: $9.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.
Showing 25 of 31 people.
| Name | Role | Location |
|---|---|---|
| Paul King | TRUSTEE | Luxembourg, N4 |
| King W Lee | SHAREHOLDER | Gurnee, IL |
| King Lee | SHAREHOLDER | Aliso Viejo, CA |
| James Ronald Sr King | DIRECTOR/CHAIRMAN OF THE BOARD/CEO; SHAREHOLDER; TRUSTEE | — |
| Westley Hayes King | DIRECTOR/PRESIDENT; TRUSTEE | — |
| Michael Peter Rubino | OWNER | — |
| Stephen Mark Kremer | OWNER | — |
| Jerome Victor Duhovic | CHIEF COMPLIANCE OFFICER; DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER; SHAREHOLDER | — |
| Paul J King | DIRECTOR/GENERAL COUNSEL | — |
| Sheri J Lejman | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | — |
| KING JAMES RONALD SR | CEO/PRESIDENT/FNOP/DIRECTOR; CHAIRMAN OF THE BOARD/DIRECTOR/CEO; DIRECTOR/CEO/FINOP (+4 more) | — |
| KEILLY ROBERT ELLIS | DIRECTOR-CCO; DIRECTOR/GENERAL COUNSEL; SHAREHOLDER | — |
| BJORDAHL BLAKE ALAN | EVP/CHIEF OPERATING OFFICER; EXECUTIVE VICE PRESIDENT/COO; SENIOR VICE PRESIDENT/COO | — |
| KING WESTLEY HAYES | DIRECTOR/PRESIDENT/CMO; DIRECTOR/PRESIDENT/COO; EXECUTIVE VICE PRESIDENT (+2 more) | — |
| VIRNICK GARY ALAN | CCO; CCO,FINOP, MUNICIPAL PRINCIPAL; CCO,MUNICIPAL PRINCIPAL (+3 more) | — |
| RUBINO MICHAEL PETER | OWNER | — |
| KREMER STEPHEN MARK | OWNER | — |
| MARIN GEORGE ENRIQUE JR | REGISTERED OPTIONS PRINCIPAL; SROP,ROP, CROP | — |
| DUHOVIC JEROME VICTOR | CHIEF COMPLIANCE OFFICER; DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER; DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER (+3 more) | — |
| NORI PETER ANTHONY | DIRECTOR; DIRECTOR/SROP,CROP, ROP; ROP (+1 more) | — |
| LANDEFELD JENNIFER LEE | SVP/CHIEF COMPLIANCE OFFICER | — |
| PETERS ALLEN SCOTT | SVP/FINANCIAL AND OPERATIONS PRINCIPAL | — |
| KING NATHANIEL J | DIRECTOR/GENERAL COUNSEL | — |
| LA BROAD PAUL HENRY | VICE PRESIDENT | — |
| FONG PATRICK TIM | VICE PRESIDENT-REGISTERED OPTION PRINCIPAL & REGISTERED MUNICIPALS PRINCIPAL | — |
Showing 10 of 17 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-07-15 | regulatory | FINRA ALLEGED THAT BETWEEN FEBRUARY 2016 AND DECEMBER 2025, THE FIRM'S SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO SUPERVISE CERTAIN EXCHANGES AND PURCHASES OF VARIABLE ANNUITIES. FROM FEBRUARY 2016 THROUGH DECEMBER 2019, IT FAILED TO REASONABLY SUPERVISE CE… | Final | $475K |
| 2025-02-07 | regulatory | BETWEEN JUNE 30, 2020, AND APPROXIMATELY APRIL 16, 2021, RESPONDENTS DID NOT COMPLY WITH REGULATION BEST INTEREST ("REGULATION BI"), IN CONNECTION WITH THEIR RECOMMENDATIONS OF CORPORATE BONDS TO CERTAIN RETAIL CUSTOMERS. CENTAURUS ALSO DID NOT REASONABLY ENFORCE ITS WRITTEN POLICIES AND PROCEDURES… | Final | $160K |
| 2023-02-06 | regulatory | THE SEC ALLEGED THAT: CERTAIN REGISTERED REPRESENTATIVES FROM A BRANCH OFFICE (THE "CFI RRS") RECOMMENDED VARIABLE INTEREST RATE STRUCTURED PRODUCTS ("VRSPS") TO CERTAIN RETAIL CUSTOMERS FOR WHOM SUCH INVESTMENTS WERE UNSUITABLE IN LIGHT OF EACH OF THE SPECIFIC CUSTOMERS' FINANCIAL SITUATIONS AND NE… | Final | $750K |
| 2023-02-06 | regulatory | THE SECURITIES COMMISSION OF SOUTH CAROLINA ("SCSC") ALLEGED THAT: DURING THE RELEVANT PERIOD, CFI AND CERTAIN SOUTH CAROLINA REGISTERED REPRESENTATIVES ("CFI RRS") RECOMMENDED STEEPENERS AND/OR CORPORATE BONDS TO CERTAIN CUSTOMERS WITHOUT REASONABLE GROUNDS TO BELIEVE THAT SUCH INVESTMENTS, IN THE… | Final | $650K |
| 2022-09-27 | regulatory | FINRA ALLEGES THAT BETWEEN SEPTEMBER 2016 THROUGH SEPTEMBER 2018, CENTAURUS FAILED TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE'S RECOMMENDATIONS OF UITS, A PREFERRED STOCK AND A BDC IN VIOLATION OF FINRA RULES 3110(A) AND (B) AND 2010. | Final | $50K |
| 2020-09-21 | regulatory | THE LDI ALLEGED THAT THE FIRM DID NOT DISCLOSE AN ADMINISTRATIVE ACTION ON THREE LICENSING RENEWAL APPLICATIONS AND UNTIMELY REPORTED TWO ADMINISTRATIVE ACTIONS IN VIOLATION OF LA. R.S. 22:1554 (A)(2) AND LA. R.S. 22:1563 (A). | Final | $500 |
| 2019-09-25 | regulatory | THE STATE ALLEGED POTENTIAL VIOLATIONS OF ?? 11-51-410 (1)(B), (G), AND (I), C.R.S.; 3 CCR 704-1 AND COMMISSIONER RULES 51-4.5 AND 51-4.7(B), (G)(2); AND FINRA RULES 3110(A)(1), (A)(6) AND (B)(1). | Final | — |
| 2019-09-25 | regulatory | THE STATE ALLEGED POTENTIAL VIOLATIONS OF §§ 11-51-410 (1)(B), (G), AND (I), C.R.S.; 3 CCR 704-1 AND COMMISSIONER RULES 51-4.5 AND 51-4.7(B), (G)(2); AND FINRA RULES 3110(A)(1), (A)(6) AND (B)(1). | Final | — |
| 2018-12-04 | regulatory | SEC ALLEGES BREACH OF FIDUCIARY DUTY BY CFI, A DUALLY- REGISTERED INVESTMENT ADVISER AND BROKER/DEALER, IN CONNECTION WITH ITS RECEIPT OF THIRD-PARTY COMPENSATION FROM CLIENT INVESTMENTS WITHOUT FULLY AND FAIRLY DISCLOSING ITS CONFLICTS OF INTEREST. IN PARTICULAR, SINCE AT LEAST 2014 CFI INVESTED CL… | Final | $250K |
| 2016-08-11 | regulatory | THE FIRM PROVIDED INCOMPLETE INFORMATION ON A NON-RESIDENT INSURANCE RENEWAL APPLICATION DATED JULY 22, 2016. | Final | $500 |