Ralph C. Williams

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CRD#: 805613

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ralph Cannon Williams JR, CFP® was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 1975. Ralph had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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. SAGE WEALTH SOLUTIONS, NON-INVESTMENT RELATED, PALMDALE, CA 93551, SALE OF SOFTWARE AND COACHING SYSTEM HELPING PEOPLE WITH CASH FLOW MANAGEMENT AND ACCLERATING THE ELIMINATION OF DEBT, OWNER, SINCE 8/1/2018, DEVOTED TIME IS 12 HOURS A MONTH. 2. SAGE COLLEGE PLANNING, NON-INVESTMENT RELATED, PALMDALE, CA 93351, CONSULTING ON COLLEGE ADMISSION AND FINANCIAL AID, OWNER, SINCE 11/1/2013, DEVOTED TIME IS 40 HRS A MONTH, CONSULT WITH FAMILIES TO BETTER POSITION THEIR STUDENTS FOR COLLEGE ACCEPTANCE WITH BETTER FINANCIAL AID PACKAGES. 3. PROPRIETOR, RALPH WILLIAMS, PALMDALE, CA 93551, START DATE 5-12-1976, 16 HOURS PER MONTH, NON INVESTMENT RELATED, SALES OF FIXED INSURANCE AND ANNUITIES AND LIFE INSURANCE. 4. PROPRIETOR, ACCELERATING EQUITY, NON INVESTMENT RELATED, START DATE 11-19-2007, SOFTWARE AND PERSONAL COACHING SYSTEM THAT HELPS PEOPLE ORGANIZE CASH FLOW AND GET OUT OF DEBT SUBSTANTIALLY FASTER; 20 HOURS PER MONTH, PALMDALE, CA 93551. 5. DIRECTOR OF MUSIC, LANCASTER UNITED METHODIST CHURCH, 918 W. AVENUE J, LANCASTER, CA 93534, NON INVESTMENT RELATED, START DATE 9-1-1999, 40 HOURS PER MONTH, SELECT AND DIRECT MUSIC FOR CHOIR AND ORCHESTRA FOR WORSHIP SERVICES AND CONCERTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Start date: 1987

Experience

Past

November 6, 2018 - December 31, 2024

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

PALMDALE, CA

Past

December 17, 2007 - December 31, 2012

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

PALMDALE, CA

Past

December 17, 2007 - December 31, 2024

CENTAURUS FINANCIAL, INC.

CRD#: 30833

PALMDALE, CA

Past

June 2, 2006 - December 14, 2007

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

BRIDGEWATER, NJ

Past

June 22, 2005 - June 2, 2006

THE INVESTMENT CENTER, INC.

RIA

CRD#: 17839

LANCASTER, CA

Past

August 1, 2002 - December 14, 2007

THE INVESTMENT CENTER, INC.

CRD#: 17839

LANCASTER, CA

Past

July 19, 2001 - January 21, 2003

CALIFORNIA FINANCIAL NETWORK, INC.

CRD#: 103702

BAKERSFIELD, CA

Past

August 30, 1988 - June 19, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

June 21, 1988 - September 12, 1988

ALLIANCE ADVISORY & SECURITIES, INC.

CRD#: 18835

Past

May 3, 1988 - August 10, 1988

ASSOCIATED SECURITIES CORP.

CRD#: 12969

Past

November 1, 1982 - May 5, 1988

LPL FINANCIAL LLC

CRD#: 6413

Past

March 6, 1975 - March 28, 1983

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/22/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 2/28/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/1983

General Securities Principal Examination

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Ralph C. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

IC ADVISORY SERVICES, INC.

THE INVESTMENT CENTER, INC.

THE INVESTMENT CENTER, INC.

CALIFORNIA FINANCIAL NETWORK, INC.

LPL FINANCIAL LLC

ALLIANCE ADVISORY & SECURITIES, INC.

ASSOCIATED SECURITIES CORP.

LPL FINANCIAL LLC

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2018

Series 63

Date: 11/1/1984

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 2/28/1975

Series 24

Date: 8/31/1983

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

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