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Steven L. Nielsen
CENTAURUS FINANCIAL
Gilbert, AZ 85233
Some features on this profile are disabled
CRD#: 4184826
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Professional summary
Steven Lamar Nielsen is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Gilbert, Arizona.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 11 firms and has passed the Series 66, SIE and Series 7 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. STEVEN NIELSEN, NON-INVESTMENT RELATED, 3638 E. TREMAINE COURT, GILBERT, AZ 85234, RENTAL PROPERTY, OWNER, SINCE 3/1/2011, DEVOTED TIME IS 1 HOUR A MONTH, MANAGE THE PROPERTY.
2. ESTATE PLANNING TEAM, NON-INVESTMENT RELATED, 45110 CLUB DRIVE, SUITE B, INDIAN WELLS, CA 92210, MARKETING FOR PROSPECTIVE CLIENTS WITH REGARDS TO DEFERRED SALES TRUST, MEMBER, SINCE 8/8/2017, DEVOTED TIME IS 8 HOURS A MONTH.
3. OWNER, NIELSEN WEALTH MANAGEMENT GROUP, LLC. 1425 W ELLIOTT RD, SUITE 102, GILBERT, AZ 85233. FOR DBA PURPOSES.
4. OWNER, GILBERT TAX PLANNING, LLC. 1425 W ELLIOTT RD, SUITE 102, GILBERT, AZ 85233. NON-INVESTMENT RELATED SINCE 2/2017 AND I SPEND APPROX. TWO HOURS PER MONTH ON THIS ACTIVITY. MANAGE EA TAX PREPARER.
5. AGENT, FIXED ANNUITIES, 1425 W. ELLIOT RD. #102. GILBERT, AZ 85233. INVESTMENT RELATED AND I SPEND APPROX. 3 HOURS PER MONTH ON THIS ACTIVITY. MEET WITH CLIENTS, EXPLAIN EIA'S. 401K PLAN GRADER, I USE SOFTWARE TO EVALUATE 401K PLANS.
6. SOFA, NON-INVESTMENT RELATED, 1425 W. ELLIOT ROAD, SUITE #102, GILBERT, AZ 85233, TEACHING SEMINARS TO THE PUBLIC IN ORER TO EDUCATE THE PUBLIC AND MAKE THEM FINANCIALLY AWARE, MEMBER, SINCE 8/31/2019, DEVOTED TIME IS 3 HOURS A MONTH, TALK WITH HR DEPARTMENTS AND SEE IF I COULD TEACH FINANCIAL AWARENESS CLASSES FOR EMPLOYEES OR TO THE PUBLIC IN GENERAL.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Lamar Nielsen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Lamar Nielsen'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 7, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1425 W. Elliot Road Suite #102, Gilbert, AZ 85233RIA
BD
CRD#: 30833
Gilbert, AZ
Current
August 7, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1425 W. Elliot Road Suite #102, Gilbert, AZ 85233RIA
BD
CRD#: 30833
Gilbert, AZ
Past
October 15, 2015 - August 2, 2017
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
Gilbert, AZ
Past
March 19, 2014 - December 15, 2015
DIVERSIFY WEALTH MANAGEMENT, INC.
RIA
CRD#: 169032
TEMPE, AZ
Past
January 24, 2014 - August 2, 2017
DFPG INVESTMENTS, LLC
BD
CRD#: 155576
Gilbert, AZ
Past
January 23, 2012 - January 14, 2014
MADISON AVENUE SECURITIES, LLC
RIA
CRD#: 23224
TEMPE, AZ
Past
March 29, 2010 - January 14, 2014
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
TEMPE, AZ
Past
September 6, 2007 - March 23, 2010
SII INVESTMENTS, INC.
BD
CRD#: 2225
MESA, AZ
Past
November 17, 2006 - September 5, 2007
MORGAN PEABODY, INC.
BD
CRD#: 38306
SHERMAN OAKS, CA
Past
January 15, 2004 - November 30, 2006
OSAIC WEALTH, INC.
BD
CRD#: 23131
MESA, AZ
Past
September 24, 2003 - February 12, 2004
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
November 25, 2002 - September 2, 2003
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
May 1, 2001 - November 26, 2002
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
May 25, 2000 - May 10, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(8/10/2017)
IAR
Arizona(8/10/2017)
RR
California(8/7/2017)
IAR
California(8/8/2017)
RR
Colorado(8/7/2017)
IAR
Colorado(8/7/2017)
RR
Florida(8/7/2017)
IAR
Florida(10/4/2022)
RR
Idaho(2/8/2022)
IAR
Idaho(2/8/2022)
RR
Indiana(8/7/2017)
RR
Iowa(10/31/2018)
IAR
Iowa(11/8/2018)
RR
Michigan(8/7/2017)
IAR
Michigan(8/26/2021)
IAR
Minnesota(8/10/2018)
IAR
Nevada(7/14/2025)
RR
New Mexico(4/6/2022)
IAR
New Mexico(4/6/2022)
RR
North Carolina(6/25/2020)
RR
Oklahoma(8/16/2017)
IAR
Oklahoma(8/16/2017)
RR
Texas(8/7/2017)
IAR
Texas(8/8/2017)
RR
Washington(3/23/2022)
IAR
Washington(1/10/2023)
RR
Wisconsin(8/7/2017)
IAR
Wisconsin(8/8/2017)
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)
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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.
