Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
CENTAURUS FINANCIAL, INC. ( CRD # 30833/SEC#:801-56882,8-45185 )
CENTAURUS FINANCIAL, INC.
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved10/8/1999
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama8/15/2000
Alaska7/8/2010
Arizona2/22/2000
Arkansas10/15/2002
California9/1/1999
Colorado2/2/2005
Connecticut1/27/2000
Delaware2/2/2005
District of Columbia1/28/2011
Florida9/27/1993
Georgia2/10/2005
Hawaii11/7/2001
Idaho1/1/2001
Illinois4/2/2001
Indiana2/2/2005
Iowa2/2/2005
Kansas12/13/2002
Kentucky7/27/2010
Louisiana10/1/2001
Maine2/10/2010
Maryland2/2/2005
Massachusetts11/20/2000
Michigan2/2/2005
Minnesota2/2/2005
Mississippi2/2/2005
Missouri5/23/2001
Montana2/2/2005
Nebraska2/1/2005
Nevada9/12/2005
New Hampshire7/2/2010
New Jersey4/26/2005
New Mexico2/2/2005
New York2/18/2000
North Carolina4/20/2001
North Dakota7/27/2010
Ohio2/2/2005
Oklahoma2/2/2005
Oregon2/2/2005
Pennsylvania2/2/2000
Puerto Rico7/29/2022
Rhode Island7/27/2010
South Carolina2/2/2005
South Dakota7/29/2010
Tennessee3/6/2000
Texas2/2/2005
Utah1/16/2007
Vermont7/28/2010
Virgin Islands10/29/2014
Virginia2/1/2000
Washington6/6/2001
West Virginia2/1/2005
Wisconsin2/2/2005
Wyoming7/11/2018
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.