SC
Steven D. Cox
CENTAURUS FINANCIAL
Salt Lake City, UT
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CRD#: 6944907
SC
Professional summary
Steven David Cox is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Salt Lake City, Utah.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Steven has worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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. Scott D. Phillips, non-investment related, 2150 S. 1300 E. Suite 500, Salt Lake City, UT 84106, Total Comprehensive Financial Planning, admin. assistant, devoted time 30 hrs/month, secretarial work, emailing, organizing, filing, scheduling appointments, filling out paperwork, participating in client appointments and shipping. 2. SDP PERSONALIZED PLANNING, Financial Advisor & Team Based Model Consultant, "SDP Personalized Planning" as a dba for branding purposes for Centaurus branch office and SDP, LLC / Team Based Model Consultant OBA, Investment related, since 03/27/2020, address same as above, Dba for branding purposes financial planning and advisory business and SDP, LLC / Team Based Model Consultant OBA. 3. Steven D. Cox, non-investment related, address same as above, individual and group health, disability, vision and dental insurance, Agent/Solicitor, since 9/24/2020, devoted time 4 hrs/month, providing services to individuals, families and businesses, servicing of policies will be handled by other entities. 4. Steven Cox, non-investment related, address same as above, life coaching services provided through Sound Coaching, Inc., Life Coach, since 9/24/2020, devoted time 10 hrs/month, providing life coaching services to individual, families and businesses. 5. TEAM BASED MODEL CONSULTANT, Team Based Model Consultant, through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses. I also form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction strategies. I may receive a portion of the fees paid to these professionals. Non-Investment related, devoted 12 hrs/month, 8 Securities Trading hrs, since 01/18/2023, address same as above, through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses. I also form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction strategies. I may receive a portion of the fees paid to these professionals. 6. STEVEN DC CAPITAL, LLC, Investment related, address same as above, team Based Model Consultant, through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses. I also form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction strategies. I may receive a portion of the fees paid to these professionals. 12 hrs/month, 8 Securities trading hrs, since 01/18/2023. 7. STEVEN D. COX, Agent/Solicitor, Sales of fixed insurance, fixed annuities and/or long-term care, non-Investment related, 4 hrs/month, 2 Securities trading hrs, since 04/07/2023, address same as above, Sales of fixed insurance, fixed annuities and/or long-term care. 8. SDP, LLC, Team Based Model Consultant, through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses. I also form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction strategies. I may receive a portion of the fees paid to these professionals. Non-Investment related, 12 hrs/month, 8 Securities trading hrs, 01/18/2023, address same as above, through a network of various specialized professionals, I advise individuals and business owners on reducing business risks and expenses. I also form strategic alliances with tax professionals, who, in their capacity as such, help these individuals and business owners with tax reduction strategies. I may receive a portion of the fees paid to these professionals.
CRS (Client Relationship Summary) - RIA
Click below to view Steven David Cox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven David Cox'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
May 7, 2019 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Salt Lake City, UT
Current
March 7, 2019 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Salt Lake City, UT
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
Arkansas(12/23/2024)
RR
California(4/17/2025)
RR
Colorado(5/24/2019)
IAR
Colorado(5/24/2019)
RR
Maryland(12/23/2024)
RR
Massachusetts(8/28/2024)
RR
Nevada(6/18/2024)
IAR
Nevada(6/18/2024)
RR
Utah(5/4/2019)
IAR
Utah(5/7/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/7/2019
General Securities Representative ExaminationGeneral 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.
