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Timothy Sweeney

Centaurus Financial, INC.
30 Years of Experience
Santa Barbara, CA
3 DisclosuresBroker
View SEC Summary
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Timothy Sweeney is a registered investment advisor at Centaurus Financial, INC., based in Santa Barbara, CA, with 30 years of industry experience. Timothy 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
442 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

3902 State Street, Suite #101, Santa Barbara, CA, 93105

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History

Regulatory History (3)
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.
Customer Dispute
June 2023
Settled
Customer Dispute
July 2005
Denied
Customer Dispute
February 2003
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Timothy uses Tremblay Financial Services as a DBA for marketing purposes since 2017. This activity is not investment-related.

Employment History
Current Registrations
Centaurus Financial, INC.Broker
September 2015 - Present · 11 yrs 1 mo
Centaurus Financial, INC.
September 2015 - Present · 11 yrs 1 mo
Previous Registrations
J P Turner & Company Capital Management, LLC
March 2009 - September 2015 · 6 yrs 6 mos
J.P. Turner & Company, L.L.C.Broker
July 2007 - September 2015 · 8 yrs 2 mos
Brookstreet Capital Management
February 2007 - July 2007 · 5 mos
Brookstreet Securities CorporationBroker
April 2004 - July 2007 · 3 yrs 3 mos
Raymond James Financial Services, INC.Broker
January 1999 - April 2004 · 5 yrs 3 mos
Robert Thomas Securities, INCBroker
April 1996 - January 1999 · 2 yrs 9 mos
American Express Financial Advisors INC.Broker
November 1995 - April 1996 · 5 mos
Ids Life Insurance CompanyBroker
November 1995 - April 1996 · 5 mos
State Registrations10 states
CAFLIDMDMENCORTXUTWA
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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