FS
Fera Shivaee
CENTAURUS FINANCIAL
Laguna Niguel, CA 92677
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CRD#: 2271590
FS
Professional summary
Fera Shivaee, who also goes by Fereshteh Fera, Fereshteh Nahavandi, Fereshteh Shivaee, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Laguna Niguel, California.
Fera is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Fera has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fereshteh Fera | Fereshteh Nahavandi | Fereshteh Shivaee
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. PRESIDENT, FINANCIAL FOUNDATION 2000. NON INVESTMENT. DBA FOR BRANDING PURPOSES ONLY. 2. FERA SHIVAEE, NON-INVESTMENT RELATED, 30012 IVY GLENN DR., #265, LAGUNA NIGUEL, CA 92677, TO ASSIST MY FRIENDS AND FAMILY MEMBERS WITH REMODELING DESIGN AND PRODUCTS SELECTION, DESIGNER , SINCE 1/1/2022, DEVOTED TIME IS 10 HOURS A MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Fera Shivaee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fera Shivaee'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
December 31, 1997 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 30012 Ivy Glenn Drive Suite #265, Laguna Niguel, CA 92677RIA
BD
CRD#: 30833
Laguna Niguel, CA
Current
November 25, 1997 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 30012 Ivy Glenn Drive Suite #265, Laguna Niguel, CA 92677RIA
BD
CRD#: 30833
Laguna Niguel, CA
Past
October 15, 1996 - November 13, 1997
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
November 22, 1995 - December 9, 1996
FINANCE 500, INC.
BD
CRD#: 12981
IRVINE, CA
Past
October 29, 1993 - November 18, 1996
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
ANAHEIM, CA
Past
March 2, 1993 - November 11, 1993
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
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(4/16/2013)
RR
California(11/25/1997)
IAR
California(12/31/1997)
RR
Colorado(2/15/2024)
IAR
Colorado(2/15/2024)
RR
Massachusetts(8/27/2021)
IAR
Massachusetts(9/2/2021)
IAR
Missouri(1/5/2011)
RR
Missouri(9/19/2011)
IAR
Nevada(1/14/2011)
RR
Nevada(4/15/2011)
RR
New Mexico(10/13/2010)
IAR
New Mexico(7/27/2023)
RR
Texas(1/3/2018)
IAR
Texas(1/11/2018)
RR
Utah(5/2/2022)
IAR
Utah(6/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 5/5/1995
Non-Member General Securities ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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.
