RN
Robert L. Nichols
CENTAURUS FINANCIAL
Palm Desert, CA 92260
Some features on this profile are disabled
CRD#: 5778940
RN
Professional summary
Robert Lance Nichols, who also goes by Lance Nichols, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Palm Desert, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Robert has worked at 1 firm and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lance Nichols
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.
IRA'S MADE SIMPLE, NON-INVESTMENT RELATED, 2901 W. COAST HWY., SUITE #200, NEWPORT BEACH, DBA FOR MARKETING PURPOSES ONLY, FINANCIAL ADVISOR, SINCE 5/21/2018.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Lance Nichols's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Lance Nichols'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 9, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 74-710 Highway 111 Suite #102, Palm Desert, CA 92260RIA
BD
CRD#: 30833
Palm Desert, CA
Current
March 12, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 74-710 Highway 111 Suite #102, Palm Desert, CA 92260RIA
BD
CRD#: 30833
Palm Desert, CA
Past
January 1, 2011 - December 31, 2013
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
HENDERSON, NV
Past
December 1, 2010 - February 18, 2014
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
HENDERSON, NV
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
Alabama(3/6/2025)
IAR
Alabama(3/6/2025)
RR
Arizona(4/20/2020)
RR
California(4/9/2018)
IAR
California(4/9/2018)
IAR
Colorado(10/31/2024)
RR
Colorado(11/1/2024)
RR
Idaho(4/8/2024)
IAR
Idaho(5/8/2024)
RR
Illinois(11/5/2021)
RR
Maryland(2/5/2025)
IAR
Maryland(2/6/2025)
RR
Missouri(6/13/2025)
IAR
Missouri(6/16/2025)
RR
Montana(8/28/2025)
IAR
Montana(9/3/2025)
RR
Nebraska(11/29/2021)
IAR
Nebraska(11/29/2021)
RR
Nevada(4/19/2018)
IAR
Nevada(4/19/2018)
RR
New Jersey(7/8/2025)
IAR
New Jersey(7/8/2025)
RR
New York(2/13/2025)
IAR
New York(2/13/2025)
RR
North Carolina(4/9/2025)
IAR
North Carolina(4/11/2025)
RR
Ohio(6/17/2025)
IAR
Ohio(6/17/2025)
RR
South Carolina(3/20/2025)
IAR
South Carolina(3/25/2025)
RR
Utah(5/8/2024)
IAR
Utah(5/8/2024)
RR
Washington(3/11/2020)
IAR
Washington(3/11/2020)
RR
Wyoming(6/13/2025)
IAR
Wyoming(6/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
