DM
Douglas S. Misterly
CENTAURUS FINANCIAL
Huntington Beach, CA
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CRD#: 2116378
DM
Professional summary
Douglas Stuart Misterly, who also goes by Doug Misterly, Douglas S Misterly, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Huntington Beach, California.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Misterly | Douglas S Misterly
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.
1. MISTERLY FINANCIAL GROUP, AGENT, SINCE 8/8/2000, AT 4952 WARNER AVE., HUNTINGTON BEACH, CA 92649, HEALTH INSURANCE, FIXED ANNUITY, 403B PAYROLL DEDUCTIONS, ALL RENEWALS, I AM NOT WRITING ANY NEW BUSINESS, DEVOTED TIME IS 1 HR A MONTH, NON-INVESTMENT RELATED. 2. PRINCE CHARTERS, LTD., CAPTAIN/OWNER, SINCE 7/1/2010, SAILBOAT CHARTERS AS A CAPTAIN, TAKE PEOPLE OUT ON SAILBOAT CHARTERS, WEEKENDS, DEVOTED TIME IS 7 HRS A MONTH, NON-INVESTMENT RELATED. 3. CITY OF HUNTINGTON BEACH INVESTMENT ADVISORY BOARD POSITION: board member NATURE: The board is comprised of 7 members individually appointed by by city council members. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/26/2023 ADDRESS: 2000 Main Atreet, Huntington Beach CA 92648, United States DESCRIPTION: The board meets quarterly. The purpose of the board is to act as an advisory capacity to the city treasurer and city council. In matters pertaining to financial planning and and the citys investments. This is not a paid position. It is a voluntary position.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Stuart Misterly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Stuart Misterly'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
November 20, 2007 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Huntington Beach, CA
Current
December 1, 2005 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Huntington Beach, CA
Past
October 1, 2004 - December 2, 2005
FINANCIAL WEST GROUP
RIA
CRD#: 16668
HUNTINGTON BEACH, CA
Past
June 12, 2003 - December 2, 2005
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
April 18, 2000 - June 8, 2001
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
March 31, 1999 - April 3, 2000
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
March 5, 1994 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
January 9, 1991 - March 11, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
January 9, 1991 - March 11, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
California(12/1/2005)
IAR
California(11/20/2007)
IAR
Nevada(11/23/2011)
RR
Nevada(5/12/2021)
RR
Washington(11/21/2023)
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 | 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.
