JH
Joel D. Harworth
CENTAURUS FINANCIAL
Covina, CA 91724
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CRD#: 3131373
JH
Professional summary
Joel Daniel Harworth is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Covina, California.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joel has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 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.
1. MEDI-CAL BENEFITS, NON-INVESTMENT RELATED, 818 N. MOUNTAIN AVE., SUITE #200, UPLAND, CA 91786, MEDI-CAL BENEFITS PLANNING, BENEFITS PLANNER, SINCE 6/12/2017, DEVOTED TIME IS 15 HOURS A MONTH, ASSIST CLIENTS IN PLANNING FOR MEDI-CAL. 2. HOPE CAFE AND CATERING; LINE COOK,PRIVATE BUSINESS,ADDRESS:2094 E. FOOTHILL BLVD., PASADENA,CA 91107. EVENT CATERING OF CHURCH AND OTHER EVENTS. PREP AND COOK FOOD, DELIVER FOOD TO EVENT SITES. I SPEND APPROX. 5-10 HOURS PER MONTH ON THIS ACTIVITY. 4. AMERIESTATE LEGAL PLAN, NON-INVESTMENT RELATED, 3525 HYLAND AVE., SUITE #150, COSTA MESA, CA 92626, MARKETING ESTATE PLANNING SERVICES, ESTATE PLAN COORDINATOR, SINCE 7/9/2019, DEVOTED TIME IS 5 HOURS A MONTH, DISCUSS ESTATE PLANNING TOPICS, GATHER ESTATE INFORMATION AND SUBMIT TO AMERIESTATE, COORDINATE DOCUMENT DELIVERY AND ASSIST WITH TRUST FUNDING. 5. CONNECT TAX AND WEALTH MANAGEMENT POSITION: Owner NATURE: DBA for marketing and branding purposes INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2020 ADDRESS: 1274 Center Court Drive, Suite #208, Covina, CA 91724 United States DESCRIPTION: Tax Preparation and bookkeeping for individuals and small business owners. Consult on health and Medicare insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Joel Daniel Harworth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joel Daniel Harworth'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
April 13, 2016 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1274 Center Court Drive Suite #208, Covina, CA 91724RIA
BD
CRD#: 30833
Covina, CA
Current
April 15, 2016 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1274 Center Court Drive Suite #208, Covina, CA 91724RIA
BD
CRD#: 30833
Covina, CA
Past
August 31, 2004 - May 20, 2015
WESCOM FINANCIAL SERVICES
BD
CRD#: 125650
WEST COVINA, CA
Past
June 17, 2003 - May 20, 2015
WESCOM FINANCIAL SERVICES
RIA
CRD#: 125650
WEST COVINA, CA
Past
March 25, 2002 - August 31, 2004
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
PASADENA, CA
Past
March 31, 2000 - August 31, 2004
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
March 1, 1999 - August 11, 2000
WESCOM DISCOUNT BROKERAGE
BD
CRD#: 14246
PASADENA, 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
Arizona(12/8/2020)
IAR
Arizona(12/8/2020)
IAR
California(4/13/2016)
RR
California(4/18/2016)
RR
Colorado(3/28/2022)
IAR
Colorado(9/22/2023)
IAR
Idaho(2/9/2021)
RR
Idaho(8/13/2021)
RR
Illinois(3/21/2018)
IAR
Montana(10/28/2021)
RR
Nevada(8/24/2025)
RR
Ohio(10/12/2022)
RR
Texas(8/9/2021)
RR
Virginia(10/21/2021)
IAR
Virginia(10/21/2021)
IAR
Washington(8/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General 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.
