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Samuel Sutterfield

Centaurus Financial, INC.
14 Years of Experience
Tucson, AZ
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Samuel Sutterfield is a registered investment advisor at Centaurus Financial, INC., based in Tucson, AZ, with 14 years of industry experience. Samuel 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

1 S. Church Avenue, Suite #2130, Tucson, AZ, 85701

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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
October 2024
Settled
Customer Dispute
July 2023
Closed-No Action
Customer Dispute
May 2022
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Samuel is a member of The River 5 LLC, which owns the building his office is in, and he spends minimal time ensuring rent is paid. He also owns several businesses for marketing and branding purposes, tax preparation, legal document preparation, and the sale of insurance products, dedicating a few hours per week to each.

Employment History
Current Registrations
Centaurus Financial, INC.
August 2018 - Present · 8 yrs 2 mos
Centaurus Financial, INC.Broker
August 2018 - Present · 8 yrs 2 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2015 - August 2018 · 3 yrs 7 mos
Wells Fargo Clearing Services, LLCBroker
December 2011 - August 2018 · 6 yrs 8 mos
State Registrations17 states
ARAZCACOFLMAMIMNNCNMNVNYOHSCTXVAWA
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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