MR
Manuel Ramos
CENTAURUS FINANCIAL
Downey, CA 90241
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CRD#: 1956224
MR
Professional summary
Manuel Ramos, who also goes by Juan Manuel Ramos, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Downey, California and NESTYIELD ETFS located in Downey, California.
Manuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Manuel has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Juan Manuel Ramos
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Manuel Ramos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Manuel Ramos'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
February 11, 2011 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8141 E. 2nd Street Suite #330, Downey, CA 90241RIA
BD
CRD#: 30833
Downey, CA
Current
October 22, 2024 - Present
NESTYIELD ETFS
Office #1: 8141 2nd Street Suite 330, Downey, CA 90241RIA
CRD#: 332971
DOWNEY, CA
Current
February 8, 2011 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8141 E. 2nd Street Suite #330, Downey, CA 90241RIA
BD
CRD#: 30833
Downey, CA
Past
March 15, 2007 - February 14, 2011
SPC
RIA
CRD#: 110692
DOWNEY, CA
Past
July 25, 2006 - February 14, 2011
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
DOWNEY, CA
Past
December 22, 1997 - July 31, 2006
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
DOWNEY, CA
Past
August 15, 1996 - July 31, 2006
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
DOWNEY, CA
Past
December 6, 1994 - August 21, 1996
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
August 31, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
August 31, 1989 - December 13, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(8/18/2014)
IAR
Arizona(6/4/2021)
RR
California(2/8/2011)
IAR
California(2/11/2011)
RR
Colorado(8/20/2012)
IAR
Colorado(8/20/2012)
RR
Connecticut(10/16/2023)
IAR
Connecticut(10/18/2023)
RR
Florida(12/1/2016)
IAR
Florida(12/6/2016)
IAR
Georgia(3/6/2025)
RR
Illinois(8/18/2014)
IAR
Illinois(5/7/2025)
IAR
Kansas(1/12/2022)
RR
Kansas(10/18/2023)
IAR
Maryland(8/8/2023)
IAR
Minnesota(10/17/2023)
RR
Missouri(12/1/2016)
IAR
Montana(9/30/2025)
RR
Nebraska(11/9/2022)
IAR
Nebraska(11/9/2022)
RR
Nevada(2/8/2011)
IAR
Nevada(2/25/2021)
IAR
New Jersey(6/24/2020)
RR
New Mexico(8/18/2014)
IAR
North Carolina(3/5/2025)
RR
Oklahoma(7/3/2018)
IAR
Oklahoma(7/26/2022)
IAR
Oregon(6/8/2021)
RR
Tennessee(1/19/2017)
RR
Texas(8/18/2014)
IAR
Texas(2/11/2019)
RR
Utah(4/9/2015)
RR
Virginia(6/9/2017)
IAR
Virginia(10/28/2021)
RR
Washington(12/21/2016)
IAR
Washington(8/2/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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 | 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.
