Ralph A. Capristo
CENTAURUS FINANCIAL
Allentown, PA 18104
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CRD#: 5248216
Professional summary
Ralph Anthony Capristo, CFP® is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Allentown, Pennsylvania.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ralph has worked at 2 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE 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.
1. Forthright Insurance & Forthright Insurance, Inc., non-investment related, 5148 Hamilton Blvd., Allentown, PA 18106, servicing and not selling of exisiting fixed and indexed non-variable insurance and annuity products through various carriers, agent/broker, since 2/6/2020, devoted time is 10 hours a month. 2. Forthright Tax, non-investment related, 5148 Hamilton Blvd., Allentown, PA 18106, consulting and preparation, advisor, since 7/10/2019, consulting and preparation of federal tax forms and consultation on tax planning matters. 3. Forthright Wealth Planning, non-investment related, 5148 Hamilton Blvd., Allentown, PA 18106, DBA for marketing and branding purposes only, since 5/8/2019. 4. MISERICORDIA UNIVERSITY POSITION: Advisory Council Member NATURE: Higher Education. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2019 ADDRESS: 301 Lake St., Dallas PA 18612, United States DESCRIPTION: My duties include providing advice and feedback on the Business Department curriculum along with advising on student and community engagement. 5. KUTZTOWN ROTARY FOUNDATION POSITION: Board Member NATURE: Civic Organization. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: PO Box 127, Kutztown PA 19530, United States DESCRIPTION: I help determine which organizations within our community receive donations from the Kutztown Rotary Foundation.
CRS (Client Relationship Summary) - RIA
Click below to view Ralph Anthony Capristo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ralph Anthony Capristo'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®
CFP®
Start date: 2016
Experience
Current
April 30, 2019 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3500 Winchester Road Suite #102, Allentown, PA 18104RIA
BD
CRD#: 30833
Allentown, PA
Current
May 23, 2019 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3500 Winchester Road Suite #102, Allentown, PA 18104RIA
BD
CRD#: 30833
Allentown, PA
Past
November 20, 2006 - August 19, 2011
M&T SECURITIES, INC.
BD
CRD#: 17358
OLD FORGE, PA
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
California(9/3/2021)
IAR
Colorado(11/1/2024)
IAR
Indiana(11/11/2021)
IAR
Maryland(9/30/2020)
IAR
Nevada(5/15/2019)
IAR
New Jersey(10/20/2020)
IAR
New York(4/4/2022)
IAR
North Carolina(6/2/2020)
IAR
Pennsylvania(4/30/2019)
RR
Pennsylvania(5/23/2019)
IAR
South Carolina(9/3/2025)
IAR
Utah(5/1/2019)
IAR
Virginia(1/22/2025)
IAR
Washington(4/4/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/23/2019
General Securities Representative ExaminationGeneral 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
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Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Allentown, PA 18104TRUST BUT VERIFY
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