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April Waldman

Centaurus Financial, INC.
20 Years of Experience
Bellingham, WA
1 DisclosureBroker
View SEC Summary
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April Waldman is a registered investment advisor at Centaurus Financial, INC., based in Bellingham, WA, with 20 years of industry experience. April 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

Bellingham, WA

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History

Regulatory History (1)
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
July 2023
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

April uses Montecito Financial Services as a DBA for marketing and branding purposes. She also serves as Treasurer for Le Rucher Mercy Ministries, a non-profit organization, dedicating minimal time to overseeing accounting activities.

Employment History
Current Registrations
Centaurus Financial, INC.
August 2019 - Present · 7 yrs 2 mos
Centaurus Financial, INC.Broker
August 2019 - Present · 7 yrs 2 mos
Previous Registrations
Moody Securities, LLCBroker
August 2015 - January 2019 · 3 yrs 5 mos
Terra Capital Markets LLCBroker
August 2014 - August 2015 · 1 yr
U.S. Sterling Securities, INC.Broker
August 2012 - January 2013 · 5 mos
U.S. Sterling Securities, INC.Broker
April 2012 - August 2012 · 4 mos
Hedgelab Capital Management LLC
October 2009 - March 2012 · 2 yrs 5 mos
Cazenave and CO., INC.Broker
August 2009 - January 2011 · 1 yr 5 mos
Lightstone Securities, LLCBroker
April 2005 - June 2009 · 4 yrs 2 mos
Kelmoore Investment Company, INC.Broker
March 2004 - March 2005 · 1 yr
National Planning CorporationBroker
April 2003 - March 2004 · 11 mos
State Registrations12 states
CACOFLGAMIMONYORPATXWAWV
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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