SE
Stanley A. Epps
CENTAURUS FINANCIAL
Chesapeake, VA 23320
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CRD#: 1213262
SE
Professional summary
Stanley Arliss Epps is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Chesapeake, Virginia.
Stanley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Stanley has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
PRESIDENT, EPPS FINANCIAL SERVICES, 618 PROSPERITY WAY, CHESAPEAKE, VA 23320. INVESTMENT RELATED SINCE 06/2001 AND I SPEND APPROX. 30 HOURS PER MONTH ON THIS ACTIVITY. SALE AND SERVICE OF LIFE & HEALTH.
OWNER, CYE PROPERTIES LLC, 1304 DOMINION LAKE BLVD., CHESAPEAKE, VA 23320. NON INVESTMENT RELATED SINCE 02/2008 AND I SPEND APPROX. 1 HOUR PER MONTH ON THIS ACTIVITY. I MAKE DEPOSITS, WRITE CHECKS AND RECONCILE CHECKBOOK FOR RENTALS.
CRS (Client Relationship Summary) - RIA
Click below to view Stanley Arliss Epps's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stanley Arliss Epps's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 2, 2014 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 618 Prosperity Way, Chesapeake, VA 23320RIA
BD
CRD#: 30833
Chesapeake, VA
Current
September 20, 2006 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 618 Prosperity Way, Chesapeake, VA 23320RIA
BD
CRD#: 30833
Chesapeake, VA
Past
August 15, 2005 - September 21, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
CHESAPEAKE, VA
Past
August 23, 2001 - August 18, 2005
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
November 21, 1983 - July 25, 2001
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
North Carolina(11/2/2016)
IAR
North Carolina(9/17/2018)
RR
South Carolina(9/11/2015)
RR
Virginia(9/20/2006)
IAR
Virginia(10/2/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2300 E. Katella Avenue Suite 200, Anaheim, CA 92806
Mailing Address
2300 E. Katella Avenue Suite #200, Anaheim, CA 92806
Phone number
(714) 456-1790
Established
California since 08/27/1992
Firm type
Corporation
Fiscal year end
April
Firm Size
Large
# of Employees
580
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
