JG
John H. Gerken
CENTAURUS FINANCIAL
LAKE FOREST, CA 92630
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CRD#: 2426124
JG
Professional summary
John Harlan Gerken JR is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Lake Forest, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. John has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
REGISTERED PRINCIPAL, WEALTH MANAGEMENT ADVISER, 1 SPECTRUM POINTE DRIVE, STE# 210, LAKE FOREST CA, 92630. NON INVESTMENT RELATED SINCE 01/2011 AND I SPEND APPROX. 10 HOURS PER MONTH ON THIS ACTIVITY. WEALTH MANAGEMENT ADVISERS IS ONLY A DBA USED TO "BRAND" MY BUSINESS. REGISTERED PRINCIPAL, VARIOUS INSURANCE COMPANIES. SAME ADDRESS AS ABOVE. NON INVESTMENT RELATED SINCE 01/2011 AND I SPEND APPROX. 10 HOURS PER MONTH ON THIS ACTIVITY. SALES OF DISABILITY INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view John Harlan Gerken JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Harlan Gerken JR'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: 1 Spectrum Pointe Drive Suite #210, Lake Forest, CA 92630RIA
BD
CRD#: 30833
LAKE FOREST, CA
Current
November 18, 1997 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1 Spectrum Pointe Drive Suite #210, Lake Forest, CA 92630RIA
BD
CRD#: 30833
LAKE FOREST, CA
Past
December 7, 1995 - November 21, 1997
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
March 18, 1994 - December 19, 1995
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, 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
IAR
Alabama(7/17/2025)
RR
Alaska(12/1/2020)
RR
Arizona(6/8/2011)
IAR
Arizona(7/25/2012)
RR
Arkansas(4/26/2018)
IAR
Arkansas(4/30/2018)
RR
California(11/18/1997)
IAR
California(12/31/1997)
RR
Colorado(3/18/2019)
IAR
Colorado(3/18/2019)
RR
Florida(6/21/2012)
IAR
Florida(7/3/2013)
RR
Georgia(5/3/2011)
IAR
Georgia(5/4/2011)
RR
Hawaii(6/3/2014)
IAR
Idaho(8/19/2021)
RR
Illinois(1/3/2007)
IAR
Illinois(5/4/2011)
RR
Indiana(11/8/2011)
IAR
Indiana(12/6/2018)
RR
Massachusetts(8/7/2025)
IAR
Massachusetts(8/7/2025)
RR
Michigan(9/9/2013)
RR
Missouri(3/14/2012)
RR
New Jersey(2/22/2024)
IAR
New Jersey(2/22/2024)
RR
New York(9/29/2011)
IAR
New York(1/4/2024)
RR
North Carolina(7/20/2011)
IAR
North Carolina(8/27/2024)
RR
Ohio(6/13/2025)
IAR
Ohio(6/13/2025)
RR
Oregon(11/24/2015)
IAR
Oregon(2/19/2019)
RR
Pennsylvania(8/12/2019)
RR
South Dakota(1/7/2021)
IAR
South Dakota(1/7/2021)
RR
Texas(3/4/2011)
IAR
Texas(12/3/2024)
RR
Washington(10/22/2013)
IAR
Washington(10/24/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
