John StephensCRD Number: 1388369
Current Firm: Centaurus Financial, Inc.
John Stephens (CRD# 1388369) is an Investment Advisor Representative working at Centaurus Financial, Inc. in Saratoga, CA and has over 27 years of experience in the finance industry.
Three Bell Capital LLC
Skyoak Wealth Management, Inc.
Oceaniq Capital, LLC
|Centaurus Financial, Inc.||Orange , CA||May 2002 - Current||15|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1990|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management1,044MILLIONS
Total Number of Accounts5,454ACCOUNTS
Average Account Value$191,349
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Market timing services
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV