JE
James B. Eberhardt
CENTAURUS FINANCIAL
SANTA ANA, CA 92705
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CRD#: 822972
JE
Professional summary
James Blueford Eberhardt, who also goes by James Buford Eberhardt, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Santa Ana, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 2 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Buford Eberhardt
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. IMPRIMIS FINANCIAL & INSURANCE SERVICES, INC., NON-INVESTMENT RELATED, ARCADIA, CA 91006, PENSION DESIGN AND CONSULTING, BRANDING PURPOSES ONLY, PRESIDENT, SINCE 3/16/2015, DEVOTED TIME IS 160 HRS A MONTH. 2. PINNACLE GROUP FINANCIAL SERVICES POSITION: Rep NATURE: DBA for branding purposes only. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2022 ADDRESS: 2224 E. Santa Clara Ave., Santa Ana CA 92705, United States DESCRIPTION: DBA for branding purposes only
CRS (Client Relationship Summary) - RIA
Click below to view James Blueford Eberhardt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Blueford Eberhardt'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
February 27, 2019 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2224 E. Santa Clara Avenue, Santa Ana, CA 92705RIA
BD
CRD#: 30833
SANTA ANA, CA
Current
June 6, 2003 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2224 E. Santa Clara Avenue, Santa Ana, CA 92705RIA
BD
CRD#: 30833
SANTA ANA, CA
Past
August 19, 2002 - June 11, 2003
WALL STREET FINANCIAL GROUP, INC.
BD
CRD#: 35830
VICTOR, NY
Past
January 23, 2001 - September 12, 2002
CALIFORNIA FINANCIAL NETWORK, INC.
BD
CRD#: 103702
BAKERSFIELD, CA
Past
November 11, 1998 - January 16, 2001
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
July 2, 1993 - September 3, 1998
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
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
California(6/6/2003)
IAR
California(2/27/2019)
RR
Hawaii(5/15/2023)
RR
Oregon(11/11/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 1/14/1975
Non-Member General Securities ExaminationPrincipal/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.
