JC
Jason R. Coles
CENTAURUS FINANCIAL
Irvine, CA 92618
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CRD#: 2632270
JC
Professional summary
Jason Roberts Coles is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Irvine, California.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jason has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
COLES CAPITAL MANAGEMENT, NON INVESTMENT RELATED, DBA ONLY, FOR BRANDING PURPOSES ONLY.
JASON ROBERTS COLES, LIFE AND TERM INSURANCE SALES, NON INVESTMENT RELATED SINCE 3/2008 AND I SPEND APPROX. ONE HOUR PER MONTH ON THIS ACTIVIY.
SAN JUAN FINANCIAL, NON INVESTMENT RELATED AND I SPEND APPROX. TWO HOURS PER MONTH ON THIS ACTIVITY. RESEARCH COST BASIS FOR SCHEDULE D's ON TAX RETURNS.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Roberts Coles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason Roberts Coles'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
August 9, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 9870 Research Drive, Irvine, CA 92618RIA
BD
CRD#: 30833
Irvine, CA
Current
August 9, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 9870 Research Drive, Irvine, CA 92618RIA
BD
CRD#: 30833
Irvine, CA
Past
November 18, 2011 - August 9, 2017
FINANCIAL WEST GROUP
RIA
CRD#: 16668
IRVINE, CA
Past
November 17, 2011 - August 9, 2017
FINANCIAL WEST GROUP
BD
CRD#: 16668
IRVINE, CA
Past
October 26, 2010 - November 21, 2011
TORREY PINES SECURITIES, INC.
RIA
CRD#: 17120
IRVINE, CA
Past
September 20, 2010 - November 21, 2011
TORREY PINES SECURITIES, INC.
BD
CRD#: 17120
SAN DIEGO, CA
Past
April 30, 2008 - August 23, 2010
COOPER MCMANUS
RIA
CRD#: 111458
IRVINE, CA
Past
April 14, 2008 - August 13, 2010
SECURITIES AMERICA, INC.
BD
CRD#: 10205
IRVINE, CA
Past
March 31, 2004 - January 15, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
COSTA MESA, CA
Past
March 30, 2004 - January 15, 2008
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
COSTA MESA, CA
Past
April 2, 1999 - February 10, 2004
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
IRVINE, CA
Past
July 7, 1995 - January 22, 2004
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Alabama(11/2/2023)
RR
Arizona(8/9/2017)
IAR
Arizona(8/10/2017)
RR
California(8/9/2017)
IAR
California(8/10/2017)
IAR
Colorado(9/12/2017)
RR
Colorado(9/21/2017)
RR
Delaware(8/19/2024)
IAR
Delaware(8/19/2024)
RR
Florida(8/30/2017)
IAR
Florida(8/30/2017)
RR
Georgia(4/22/2024)
IAR
Georgia(4/22/2024)
RR
Idaho(10/14/2022)
IAR
Idaho(10/14/2022)
RR
Illinois(9/29/2023)
IAR
Illinois(9/29/2023)
RR
Indiana(11/9/2017)
IAR
Indiana(2/5/2025)
RR
Louisiana(8/9/2017)
IAR
Louisiana(8/10/2017)
RR
Missouri(3/24/2025)
RR
Montana(8/7/2023)
IAR
Montana(8/7/2023)
RR
Nevada(8/18/2017)
IAR
Nevada(8/30/2017)
IAR
New York(8/6/2024)
RR
New York(8/8/2024)
RR
Ohio(3/21/2022)
IAR
Ohio(3/21/2022)
RR
Oklahoma(3/20/2024)
IAR
Oklahoma(3/20/2024)
RR
Oregon(8/23/2017)
IAR
Oregon(8/23/2017)
RR
Tennessee(8/1/2023)
RR
Texas(8/9/2017)
IAR
Texas(8/9/2017)
RR
Virginia(7/9/2019)
IAR
Virginia(7/9/2019)
RR
Washington(8/22/2017)
IAR
Washington(8/22/2017)
RR
West Virginia(1/16/2025)
RR
Wyoming(10/19/2017)
Exams
State Security Law Exam
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.
