EC
Eduardo Cervantes
CENTAURUS FINANCIAL
Tucson, AZ 85718
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CRD#: 6438710
EC
Professional summary
Eduardo Cervantes, AIF®, who also goes by Eddie Cervantes, Ed Cervantes, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Tucson, Arizona.
Eduardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Eduardo has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eddie Cervantes | Ed Cervantes
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. Modern Wealth Management Group LLC, non-investment related, 1640 E. River Road, Suite #208, Tucson, AZ 85718, DBA for branding and marketing purposes, Vice President, since 11/25/2020. 2. Eddie Advise Me Now, non-investment related, 1640 E. River Rd., #208, Tucson, AZ 85718, DBA for marketing purposes only, since 11/10/2020. 3.Modern 401(k), non-investment related, 1640 E. River Rd., #208, Tucson, AZ 85718, DBA for marketing purposes only, since 4/22/2021. 4. American Pediatric Surgical Nurses Association, APSNA, non-investment related, 5353 Wayzata Blvd., Suite #350, Minneapolis, MN 55416, Board Member, since 6/28/2021, discuss topics pertinent to the American Pediatric Surgical Nurses Association. 5. Turtle Knows LLC, non-investment related, Tucson, AZ 85756, marketing firm that specializes in creating, implementing and sustaining marketing strategies, lead generation services for companies in any industry, marketing consultancy, direct marketing, telemarketing, digital marketing and marketing communication, manager, since 7/7/2021, devoted time is 15 hours a month. 6. MODERN INSURANCE AZ POSITION: Agent NATURE: For marketing purposes and to sell Fixed Annuities and term life insurance to clients INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: null START DATE: 03/31/2022 ADDRESS: 1640 E River Rd. Ste 208, Tucson AZ 85718, United States DESCRIPTION: For marketing purposes and to sell Fixed Annuities and term life insurance to clients 7. MODERN WEALTH MANAGEMENT AZ LLC, 1640 E River Road Ste 208, Tucson AZ 85718, United States, DBA for branding and marketing purposes,INVESTMENT RELATED, NUMBER OF HOURS: 10 START DATE: 02/03/2023
CRS (Client Relationship Summary) - RIA
Click below to view Eduardo Cervantes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eduardo Cervantes'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®
Experience
Current
March 26, 2019 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3567 E. Sunrise Drive Suite #101, Tucson, AZ 85718RIA
BD
CRD#: 30833
Tucson, AZ
Current
March 26, 2019 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3567 E. Sunrise Drive Suite #101, Tucson, AZ 85718RIA
BD
CRD#: 30833
Tucson, AZ
Past
April 10, 2015 - January 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TUCSON, AZ
Past
March 17, 2015 - January 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TUCSON, AZ
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(3/26/2019)
IAR
Arizona(3/26/2019)
IAR
California(8/30/2019)
RR
California(3/7/2022)
IAR
Indiana(6/8/2020)
RR
Indiana(5/7/2024)
IAR
New Jersey(10/22/2025)
IAR
North Carolina(3/7/2022)
RR
Tennessee(5/21/2021)
IAR
Texas(6/11/2025)
IAR
Utah(5/16/2024)
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.
