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RN

Reynold W. Neufeld

Some features on this profile are disabled
CRD#: 827427
RN

Professional summary

Reynold Wayne Neufeld was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Reynold is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Reynold had worked at 3 firms, which includes CENTAURUS FINANCIAL INC., LPL FINANCIAL LLC, VOYA FINANCIAL ADVISORS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rey Neufeld

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.
The advisor shows no other business activity.

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®
None

Experience

Past

May 16, 2008 - July 9, 2021

CENTAURUS FINANCIAL, INC.

RIA
CRD#: 30833
INDIO, CA
Past

May 16, 2008 - July 9, 2021

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
INDIO, CA
Past

November 14, 2005 - May 27, 2008

LPL FINANCIAL LLC

RIA
CRD#: 6413
INDIO, CA
Past

November 14, 2005 - May 27, 2008

LPL FINANCIAL LLC

BD
CRD#: 6413
INDIO, CA
Past

September 21, 1976 - November 17, 2005

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 9/13/1976
Registered Representative Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
FEDERATION OF FINANCIAL SERVICESOWNER
KREMER, STEPHEN MARKOWNER1188829
RUBINO, MICHAEL PETEROWNER1188940
DUHOVIC, JEROME VICTORDIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER2123754
DUHOVIC, JEROME VICTORCHIEF COMPLIANCE OFFICER2123754
KING, JAMES RONALD SRDIRECTOR/CHAIRMAN OF THE BOARD/CEO269927
KING, PAUL JDIRECTOR/GENERAL COUNSEL5017845
KING, WESTLEY HAYESDIRECTOR/PRESIDENT2527676
LEJMAN, SHERI JCFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER

Regulatory assets under management

Total Number of Accounts38,049
AUM (Assets Under Management)$ 7,336,108,151

Disclosures

Regulatory Event18
Arbitration8

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.

Company Information

CENTAURUS FINANCIAL, INC.

CRD#: 30833

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