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Detailed Report
ROYCE RYAN RUNNING
CRD#: 5202198
IA
Investment Adviser
B
Broker
CENTAURUS FINANCIAL, INC.CRD#: 30833 2070 Business Center Drive
Suite #250
Irvine, CA 92612
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - Present (11 years)BSII INVESTMENTS, INC. (CRD# 2225)2008 - 2008 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - 2008 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2008 (1 year)
Disclosure(s)
View By:
6/5/2020
Customer Dispute
Settled
License(s)

State Registrations

B
California 5/6/2013
IA
Texas 7/1/2019
IA
California 5/6/2013
B
Utah 2/10/2025
IA
Idaho 8/15/2019
IA
Utah 3/27/2025
B
Idaho 5/6/2022
IA
Washington 7/26/2021
IA
Indiana 9/22/2021

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)
2070 Business Center Drive Suite #250, Irvine, CA 92612
Registered with this firm since 5/6/2013
B
CENTAURUS FINANCIAL, INC. (CRD#:30833)
2070 Business Center Drive Suite #250, Irvine, CA 92612
Registered with this firm since 5/6/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/18/2009 - 05/13/2013 J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC (CRD#:124446) IRVINE, CA
B
 08/18/2009 - 05/13/2013 J.P. TURNER & COMPANY, L.L.C. (CRD#:43177) IRVINE, CA
B
 02/13/2009 - 07/02/2009 WFP SECURITIES (CRD#:35098) IRVINE, CA
B
 01/07/2009 - 02/12/2009 FIRST ALLIED SECURITIES, INC. (CRD#:32444) LAKE FOREST, CA
B
 07/14/2008 - 12/09/2008 SII INVESTMENTS, INC. (CRD#:2225) LAKE FOREST, CA
IA
 04/25/2007 - 06/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAGUNA HILLS, CA
B
 12/13/2006 - 06/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAGUNA HILLS, CA
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.