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John Stephens

Centaurus Financial, INC.
41 Years of Experience
Saratoga, CA
16 DisclosuresBroker
View SEC Summary
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John Stephens is a registered investment advisor at Centaurus Financial, INC., based in Saratoga, CA, with 41 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Education Planning, Estate Planning, and 5 more. Their firm serves 45,336 clients with $9.7B in assets under management.

Centaurus Financial, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
441 advisors
Number of Clients
45,336 clients
Average Client Portfolio
$215K average
Assets Under Management
$9.7B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum advisory fee is 2.25% for most programs (1.50% for annuity and variable life management, 1.35% for adviser-directed accounts). Fees are negotiable at the discretion of the representative.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

19040 Cox Avenue, Suite #2, Saratoga, CA, 95070

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History

Regulatory History (16)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
June 2024
Financial
January 2024
Final
Judgment / Lien
October 2023
Judgment / Lien
July 2021
Judgment / Lien
July 2020
Financial
July 2019
Final
Financial
December 2018
Final
Judgment / Lien
January 2018
Judgment / Lien
January 2018
Judgment / Lien
April 2017
Judgment / Lien
March 2017
Judgment / Lien
January 2017
Judgment / Lien
January 2017
Judgment / Lien
July 2015
Judgment / Lien
November 2014
Judgment / Lien
July 2014
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is the owner of Stephens Financial & Insurance Services, a DBA used for branding purposes since 2000. This activity is not investment-related.

Employment History
Current Registrations
Centaurus Financial, INC.
June 2002 - Present · 24 yrs 4 mos
Centaurus Financial, INC.Broker
May 2002 - Present · 24 yrs 5 mos
Previous Registrations
Park Avenue Securities LLC
March 2001 - May 2002 · 1 yr 2 mos
Park Avenue Securities LLCBroker
May 1999 - May 2002 · 3 yrs
Guardian Investor Services CorporationBroker
August 1989 - May 1999 · 9 yrs 9 mos
Mony Securities CORP.Broker
September 1987 - August 1989 · 1 yr 11 mos
The Mutual Life Insurance Company of New YorkBroker
September 1987 - August 1989 · 1 yr 11 mos
Waddell & Reed, INC.Broker
July 1985 - August 1987 · 2 yrs 1 mo
State Registrations5 states
AZCACOTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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