Carey James
Carey James is a registered investment advisor at Centaurus Financial, INC., based in Arroyo Grande, CA, with 40 years of industry experience. Carey operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 2 more. Their firm serves 38,049 clients with $7.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Centaurus Financial's advisors manage client accounts through various programs, charging an annual fee based on the amount invested. Fees are negotiable and can be a flat percentage or tiered, where the rate decreases as the portfolio value increases. Additional charges may include transaction fees, custodial fees, and internal fund fees.
Maximum advisory fees:
- Alpha, Beta, ABJ, Omega, Delta: 2.25%
- AA & VL: 1.50%
- Adviser-Directed: 1.35%
- FlexUMA: 2.25%
Third-Party Money Managers (TPMMs) charge fees ranging from 1.00% to 3.00%.
Location
1186 E. Grand Avenue, Arroyo Grande, CA, 93420
Get directionsHistory
Regulatory History (3)
Customer Dispute
July 2023Customer Dispute
September 2022Customer Dispute
July 2022Other Business Activities
Carey is the principal/branch manager/president of James Financial Group, a DBA for marketing purposes. He is also the president of Carey James & Associates, a registered investment advisor, dedicating about 10-20% of his time to monitoring market activity and making recommendations.
Employment History
Current Registrations
Centaurus Financial, INC.
Centaurus Financial, INC.Broker
Previous Registrations
Carey James & Associates
Carey James & Associates
Mutual Service Corporation
Mutual Service CorporationBroker
Titan/value Equities Group, INC.Broker
Everen Securities, INC.Broker
Bateman Eichler, Hill Richards, IncorporatedBroker
State Registrations13 states
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.