NP
Nathan Peters
CENTAURUS FINANCIAL
Los Alamitos, CA 90720
Some features on this profile are disabled
CRD#: 3081052
NP
Professional summary
Nathan Peters, who also goes by Nathan Earl David Peters, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Los Alamitos, California.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Nathan has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nathan Earl David Peters
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.PETERS INVESTMENT MANAGEMENT, INC. NON-INVESTMENT RELATED, LOS ALAMITOS, CA, OWNER, FOR BRANDING PURPOSES ONLY. 2.PRESIDENT, DAVID J. PETERS INSURANCE SERVICES, 4332 CERRITOS, AVE., SUITE #102, LOS ALAMITOS, CA 90720. NON INVESTMENT RELATED SINCE 2013 AND I SPEND APPROX. 10 HOURS PER MONTH ON THIS ACTIVITY. INSURANCE SALES, LIFE INSURANCE, HEALTH, DISABILITY, LTC, FIXED ANNUITIES AND IMMEDIATE ANNUIITES.
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Peters's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan Peters'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 24, 2021 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4332 Cerritos Avenue Suite #102, Los Alamitos, CA 90720RIA
BD
CRD#: 30833
Los Alamitos, CA
Current
September 24, 2021 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4332 Cerritos Avenue Suite #102, Los Alamitos, CA 90720RIA
BD
CRD#: 30833
Los Alamitos, CA
Past
January 5, 2021 - July 1, 2025
PETERS INVESTMENT MANAGEMENT INC.
RIA
CRD#: 310611
LOS ALAMITOS, CA
Past
November 26, 2013 - February 3, 2023
DAVID J. PETERS FINANCIAL SERVICES, INC.
RIA
CRD#: 131139
LOS ALAMITOS, CA
Past
April 20, 2010 - September 29, 2021
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
LOS ALAMITOS, CA
Past
April 19, 2010 - September 29, 2021
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
LOS ALAMITOS, CA
Past
December 9, 2009 - April 27, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
LOS ALAMITOS, CA
Past
September 8, 2009 - April 27, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
LOS ALAMITOS, CA
Past
September 5, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
LOS ALAMITOS, CA
Past
August 18, 2004 - February 23, 2007
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
LOS ALAMITOS, CA
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
Alaska(10/6/2021)
RR
Arizona(10/6/2021)
IAR
Arizona(10/20/2021)
RR
California(9/24/2021)
IAR
California(9/24/2021)
RR
Colorado(10/6/2021)
IAR
Colorado(1/3/2023)
RR
Delaware(2/15/2023)
IAR
Delaware(2/16/2023)
RR
Florida(1/2/2025)
IAR
Florida(1/3/2025)
RR
Idaho(10/6/2021)
IAR
Idaho(11/22/2024)
RR
Illinois(1/3/2023)
RR
Massachusetts(10/7/2021)
IAR
Massachusetts(12/21/2023)
RR
Michigan(10/6/2021)
RR
Nevada(10/14/2021)
IAR
Nevada(11/25/2024)
RR
New Mexico(1/2/2025)
IAR
New Mexico(1/2/2025)
RR
New York(1/2/2025)
IAR
New York(1/2/2025)
RR
Oregon(10/6/2021)
RR
Pennsylvania(10/6/2021)
RR
South Carolina(10/6/2021)
IAR
South Carolina(1/5/2023)
RR
Tennessee(10/6/2021)
RR
Texas(10/6/2021)
IAR
Utah(10/5/2021)
RR
Utah(10/6/2021)
RR
Washington(10/6/2021)
IAR
Washington(11/15/2023)
Exams
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
