JS
James E. Steiger
CENTAURUS FINANCIAL
Germantown, TN 38138
Some features on this profile are disabled
CRD#: 2238190
JS
Professional summary
James Edward Steiger, who also goes by Jim Steiger, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Germantown, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Steiger
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. Striker LP, non-investment related, Memphis, TN 38120, for branding purposes only, General Partner, since 1/1/2011. Striker LP, investment related, 1926 Exeter Rd., Germantown, TN 38138, for tax purposes only for investment business, general partner, since 2011. 2. Asset Advisory Group, non-investment related, 1926 Exeter Rd., Germantown, TN 38138, DBA, investment advisor representative, since 1/13/2020,.
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Steiger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edward Steiger'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 19, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1926 Exeter Road, Germantown, TN 38138RIA
BD
CRD#: 30833
Germantown, TN
Current
September 19, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1926 Exeter Road, Germantown, TN 38138RIA
BD
CRD#: 30833
Germantown, TN
Past
July 31, 2017 - September 19, 2018
ISC ADVISORS, INC.
RIA
CRD#: 166586
Memphis, TN
Past
May 17, 2016 - September 19, 2018
INSTITUTIONAL SECURITIES CORPORATION
BD
CRD#: 20291
Memphis, TN
Past
June 5, 2001 - May 16, 2016
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
ARLINGTON, TN
Past
December 16, 1999 - June 6, 2001
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
March 29, 1999 - December 13, 1999
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
February 13, 1998 - February 5, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 5, 1998 - February 5, 1999
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
October 16, 1996 - December 23, 1997
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
SAN ANTONIO, TX
Past
June 9, 1994 - October 2, 1996
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
July 7, 1993 - June 14, 1994
FINANCIAL SERVICES INVESTMENT AFFILIATE, INC.
BD
CRD#: 28054
Past
January 26, 1993 - May 19, 1993
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
BD
CRD#: 6950
MEMPHIS (SHELBY), TN
Past
May 22, 1992 - November 24, 1992
POWELL & SATTERFIELD, INC.
BD
CRD#: 7030
LITTLE ROCK, AR
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
Arkansas(9/24/2018)
IAR
Arkansas(9/24/2018)
RR
Florida(9/19/2018)
IAR
Florida(7/9/2021)
RR
Kentucky(4/25/2025)
RR
Mississippi(9/19/2018)
RR
Oklahoma(9/20/2018)
RR
South Carolina(9/19/2018)
IAR
South Carolina(7/8/2021)
RR
Tennessee(9/20/2018)
IAR
Tennessee(9/20/2018)
RR
Texas(9/19/2018)
IAR
Texas(9/19/2018)
IAR
Virginia(10/4/2021)
Exams
State Security Law Exam
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#: 30833Germantown, TN 38138TRUST BUT VERIFY
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