Royce K. Yen

CENTAURUS FINANCIAL

San Francisco, CA

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CRD#: 1501850

Professional summary

Royce Kamuela Clark Yen is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in San Francisco, California.

Royce is registered as a RR (Registered Representative) and started their career in finance in 1986. Royce has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

DBA ROCKRIDGE CAPITAL MANAGEMENT, INVESTMENT RELATED, 2119-43RD AVENEUE, SAN FRANCISCO, CA 94116, INVESTMENTS AND INSURANCE PRODUCTS,SINCE 3/18/1996, DEVOTED TIME IS 140 HRS A MONTH. INDEPENDENT AGENT, VARIOUS INSURANCE COMPANIES. 533 AIRPORT BLVD., SUITE #219, BURLINGAME, CA 94010. NON INVESTMENT RELATED SINCE 02/1996 AND I SPEND APPROX. 5 HOURS PER MONTH ON THIS ACTIVITY. INDEPENDENT LIFE, FIXED, FIXED ANNUITY AND LONG TERM CARE INSURANCE.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Royce Kamuela Clark Yen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 12, 2008 - Present

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

San Francisco, CA

Past

December 15, 2008 - December 31, 2023

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

ANAHEIM, CA

Past

October 17, 2000 - December 26, 2008

EPLANNING ADVISORS INC

RIA

CRD#: 109184

BURLINGAME, CA

Past

August 15, 2000 - December 15, 2008

EPLANNING SECURITIES, INC.

CRD#: 46000

BURLINGAME, CA

Past

September 18, 1995 - September 7, 2000

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

March 28, 1995 - September 6, 1995

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

December 16, 1994 - September 11, 1995

FIRST INTERSTATE INVESTMENTS,INC.

CRD#: 17101

Past

October 25, 1993 - December 31, 1994

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

January 7, 1992 - October 25, 1993

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

April 18, 1989 - January 6, 1992

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

November 9, 1987 - March 23, 1989

AGFC INVESTMENT SECURITIES

CRD#: 19869

Past

November 25, 1986 - October 20, 1987

GFC SECURITIES CORPORATION

CRD#: 10665

Past

October 23, 1986 - November 29, 1986

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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.

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

California
(12/12/2008)

Hawaii
(1/7/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/18/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

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.

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Firm Stability Insights

Royce K. Yen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Royce Kamuela Clark Yen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

EPLANNING ADVISORS INC

EPLANNING SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

FIRST INTERSTATE INVESTMENTS,INC.

WELLS FARGO SECURITIES INC.

MARKETING ONE SECURITIES, INC.

INVEST FINANCIAL CORPORATION

AGFC INVESTMENT SECURITIES

GFC SECURITIES CORPORATION

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1998

Series 63

Date: 8/29/1991

SIE

Date: 10/1/2018

Series 7

Date: 10/18/1986

Series 24

Date: 11/18/1997

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

TRUST BUT VERIFY

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