Juan M. Yepiz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Juan Manuel Yepiz, who also goes by John M Yepiz, John Yepiz, Juan M Yepiz, Juan Yepiz, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 1987. Juan had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2013 - December 31, 2021
CENTAURUS FINANCIAL, INC.
August 1, 2011 - April 3, 2023
CENTAURUS FINANCIAL, INC.
January 23, 2009 - September 1, 2011
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - September 1, 2011
SECURITIES AMERICA, INC.
June 3, 2008 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
June 2, 2008 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
December 13, 2000 - June 3, 2008
NATIONAL PLANNING CORPORATION
May 1, 2000 - June 3, 2008
NATIONAL PLANNING CORPORATION
March 14, 1995 - May 9, 2000
ASSOCIATED SECURITIES CORP.
July 16, 1990 - March 1, 1995
IDS LIFE INSURANCE COMPANY
July 16, 1990 - March 1, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
July 15, 1987 - July 6, 1990
RELIASTAR FINANCIAL MARKETING CORP.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
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 | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE 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.
