CJ
Carey A. James
CENTAURUS FINANCIAL
Arroyo Grande, CA 93420
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CRD#: 1420763
CJ
Professional summary
Carey Allen James is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Arroyo Grande, California.
Carey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Carey has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 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.
JAMES FINANCIAL GROUP, NON-INVESTMENT RELATED, 1186 E. GRANDE AVE., ARROYO GRANDE, CA 93420, DBA FOR MARKETING PURPOSES ONLY, PRINCIPAL/BRANCH MANAGER/PRESIDENT, SINCE 2/11/2016. PRESIDENT, CAREY JAMES & ASSOCIATES, 1186 E. GRAND AVE., ARROYO GRANDE, CA 93420. REGISTERED INVESTMENT ADVISOR. INVESTMENT RELATED SINCE 03/2003 AND I SPEND APPROX. 30 HOURS PER MONTH ON THIS ACTIVITY. MONITORING GENERAL MARKET ACTIVITY AND MAKING RECOMENDATIONS IN BEHALF OF CLIENT GOALS AND TEMPERMENT.
CRS (Client Relationship Summary) - RIA
Click below to view Carey Allen James's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carey Allen James'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
September 10, 2009 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1186 E. Grand Avenue, Arroyo Grande, CA 93420RIA
BD
CRD#: 30833
Arroyo Grande, CA
Current
August 19, 2004 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1186 E. Grand Avenue, Arroyo Grande, CA 93420RIA
BD
CRD#: 30833
Arroyo Grande, CA
Past
March 21, 2003 - December 31, 2014
CAREY JAMES & ASSOCIATES
RIA
CRD#: 125210
ARROYO GRANDE, CA
Past
April 8, 2002 - August 20, 2004
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
ANOYO GRANDE, CA
Past
March 31, 1999 - August 20, 2004
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
May 1, 1995 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
September 4, 1990 - May 9, 1995
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 17, 1985 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
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
Arizona(7/22/2021)
RR
California(8/19/2004)
IAR
California(9/10/2009)
RR
Colorado(7/10/2024)
RR
Florida(9/29/2014)
RR
Hawaii(10/22/2019)
RR
Idaho(4/5/2019)
RR
Nevada(1/19/2021)
RR
New Mexico(5/18/2017)
RR
Ohio(8/17/2022)
IAR
Ohio(10/21/2022)
RR
Oregon(10/27/2005)
IAR
Oregon(4/17/2012)
RR
Tennessee(11/16/2023)
RR
Texas(4/15/2015)
IAR
Texas(2/7/2024)
RR
Utah(4/5/2019)
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Arroyo Grande, CA 93420TRUST BUT VERIFY
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