CG
Cesar Garcia
CENTAURUS FINANCIAL
Apple Valley, CA 92307
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CRD#: 4640216
CG
Professional summary
Cesar Garcia is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Apple Valley, California.
Cesar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Cesar has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 31 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.
ARCHANGEL FINANCIAL SERVICES, INC., NON-INVESTMENT RELATED, 16191 KAMANA ROAD, SUITE #202, APPLE VALLEY, CA 92307, DBA, SINCE 1/1/2018. HD CONCRETE WORKS, NON-INVESTMENT RELATED, 10950 ARROW RTE., UNIT 1222, RANCHO CUCAMONGA, CA 91729, CONCRETE CONSTRUCTION, OWNER/CONTRACTOR, SINCE 5/15/2005, DEVOTED TIME IS 20 HRS A MONTH, HANDLE DAY TO DAY OPERATIONS AS A POUR IN PLACE CONCRETE CONTRACTOR, MARKETING, ADVERTISING, ESTIMATING, AND SCHEDULING.
CRS (Client Relationship Summary) - RIA
Click below to view Cesar Garcia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cesar Garcia'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 21, 2015 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 16191 Kamana Road Suite #202, Apple Valley, CA 92307RIA
BD
CRD#: 30833
Apple Valley, CA
Current
August 21, 2015 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 16191 Kamana Road Suite #202, Apple Valley, CA 92307RIA
BD
CRD#: 30833
Apple Valley, CA
Past
November 10, 2003 - August 27, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
LAS VEGAS, NV
Past
September 15, 2003 - August 27, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
IAR
Alabama(10/1/2020)
RR
Arizona(12/7/2020)
IAR
Arizona(12/7/2020)
IAR
California(8/21/2015)
RR
California(8/24/2015)
IAR
Idaho(3/13/2023)
RR
Idaho(1/18/2024)
IAR
Illinois(4/6/2023)
IAR
Nevada(3/17/2023)
IAR
Pennsylvania(8/21/2019)
IAR
Utah(3/13/2023)
Exams
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.
