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Detailed Report
JOHN HARLAN GERKEN JR
CRD#: 2426124
IA
Investment Adviser
B
Broker
CENTAURUS FINANCIAL, INC.CRD#: 30833 1 SPECTRUM POINTE DRIVE
SUITE #210
LAKE FOREST, CA 92630
Registration History
19952000200520102015202020252 FIRMS1997 - Present (27 years)BTHE ADVISORS GROUP, INC. (CRD# 14035)1995 - 1997 (1 year)BALLMERICA INVESTMENTS, INC. (CRD# 3960)1994 - 1995 (1 year)
Disclosure(s)
View By:
1/15/2025
Customer Dispute
Pending
6/27/2023
Judgment / Lien
12/11/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 12/1/2020
IA
Indiana 12/6/2018
B
Arizona 6/8/2011
B
Michigan 9/9/2013
IA
Arizona 7/25/2012
B
Missouri 3/14/2012
B
Arkansas 4/26/2018
B
New Jersey 2/22/2024
IA
Arkansas 4/30/2018
IA
New Jersey 2/22/2024
B
California 11/18/1997
B
New York 9/29/2011
IA
California 12/31/1997
IA
New York 1/4/2024
B
Colorado 3/18/2019
B
North Carolina 7/20/2011
IA
Colorado 3/18/2019
IA
North Carolina 8/27/2024
B
Florida 6/21/2012
B
Oregon 11/24/2015
IA
Florida 7/3/2013
IA
Oregon 2/19/2019
B
Georgia 5/3/2011
B
Pennsylvania 8/12/2019
IA
Georgia 5/4/2011
B
South Dakota 1/7/2021
B
Hawaii 6/3/2014
IA
South Dakota 1/7/2021
IA
Idaho 8/19/2021
B
Texas 3/4/2011
B
Illinois 1/3/2007
IA
Texas 12/3/2024
IA
Illinois 5/4/2011
B
Washington 10/22/2013
B
Indiana 11/8/2011
IA
Washington 10/24/2013

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CENTAURUS FINANCIAL, INC. (CRD#:30833)
1 SPECTRUM POINTE DRIVE SUITE #210, LAKE FOREST, CA 92630
Registered with this firm since 12/31/1997
B
CENTAURUS FINANCIAL, INC. (CRD#:30833)
1 SPECTRUM POINTE DRIVE SUITE #210, LAKE FOREST, CA 92630
Registered with this firm since 11/18/1997
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/07/1995 - 11/21/1997 THE ADVISORS GROUP, INC. (CRD#:14035) BETHESDA, MD
B
 03/18/1994 - 12/19/1995 ALLMERICA INVESTMENTS, INC. (CRD#:3960) WORCESTER, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.