Nicholas F. Saunders

CENTAURUS FINANCIAL

Marlton, NJ 08053

Some features on this profile are disabled

CRD#: 863004

Professional summary

Nicholas Frank Saunders, who also goes by Nicholas F Saunders, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Marlton, New Jersey.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Nicholas has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas F Saunders

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. NICHOLAS SAUNDERS, LLC POSITION: Member NATURE: To pay bills. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2005 ADDRESS: 2001 Lincoln Dr W Suite A, Marlton NJ 06053, United States DESCRIPTION: To pay my bills. 2. EXECUTIVE WEALTH ADVISORS, LLC POSITION: Member NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2005 ADDRESS: 2001 Lincoln Dr W Suite A, Marlton NJ 08053, United States DESCRIPTION: DBA , payoff bills and administrative.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Frank Saunders's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Frank Saunders's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 21, 2018 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 2001 Lincoln Drive West Suite A, Marlton, NJ 08053

RIA

CRD#: 30833

Marlton, NJ

Current

August 20, 2018 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 2001 Lincoln Drive West Suite A, Marlton, NJ 08053

RIA

CRD#: 30833

Marlton, NJ

Past

October 16, 2015 - August 27, 2018

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Marlton, NJ

Past

September 1, 2015 - August 27, 2018

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

Marlton, NJ

Past

July 26, 2007 - November 13, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

MARLTON, NJ

Past

December 2, 2005 - December 4, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

MARLTON, NJ

Past

September 20, 2005 - December 16, 2005

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

MARLTON, NJ

Past

April 20, 2001 - December 16, 2005

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

November 12, 1990 - April 23, 2001

FIRST COLONIAL SECURITIES

CRD#: 25121

BOCA RATON, FL

Past

October 1, 1990 - December 5, 1990

LEGEND MERCHANT GROUP, INC.

CRD#: 5155

NEW YORK, NY

Past

July 27, 1990 - November 30, 1993

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

April 5, 1989 - August 1, 1990

MLB INVESTMENTS, LTD.

CRD#: 18280

Past

December 12, 1988 - April 11, 1989

MONMOUTH INVESTMENTS, INC.

CRD#: 14047

Past

May 24, 1988 - December 19, 1988

HIBBARD BROWN & CO., INC.

CRD#: 18246

Past

February 2, 1987 - June 1, 1988

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

February 26, 1979 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(8/20/2018)

Colorado
(8/21/2018)

Connecticut
(8/20/2018)

IAR

Connecticut
(8/22/2018)

Florida
(8/20/2018)

IAR

Florida
(8/21/2018)

Georgia
(8/20/2018)

Maryland
(8/20/2018)

Missouri
(1/2/2020)

Nevada
(8/28/2018)

New Jersey
(8/20/2018)

IAR

New Jersey
(8/21/2018)

New Mexico
(5/14/2024)

New York
(8/20/2018)

IAR

New York
(1/3/2023)

Pennsylvania
(8/20/2018)

IAR

Pennsylvania
(8/21/2018)

Texas
(8/20/2018)

Virginia
(11/12/2019)

Washington
(5/15/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/19/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/12/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/10/1984

General Securities Principal Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Robert Boland

RBC CAPITAL MARKETS, LLC

IAR

Malvern, PA

Peter Gaertner

ROFFMAN MILLER ASSOCIATES INC

IAR

Philadelphia, PA

David Ducharme

DUCHARME WEALTH ADVISORS, LLC

IAR

Jenkintown, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas F. Saunders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Frank Saunders's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Frank Saunders's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

CETERA INVESTMENT ADVISERS LLC

SUMMIT BROKERAGE SERVICES, INC.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

FIRST COLONIAL SECURITIES

LEGEND MERCHANT GROUP, INC.

VANDERBILT SECURITIES, INC.

MLB INVESTMENTS, LTD.

MONMOUTH INVESTMENTS, INC.

HIBBARD BROWN & CO., INC.

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2005

Series 63

Date: 6/12/1986

SIE

Date: 10/1/2018

Series 7

Date: 2/17/1979

Series 24

Date: 8/10/1984

FINRA

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.

TRUST BUT VERIFY

Contact information

Similar Advisors