Gene Williams
Gene Williams is a registered investment advisor at Centaurus Financial, INC., based in Anaheim, CA, with 47 years of industry experience. Gene 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
2300 E. Katella Avenue, Suite #200, Anaheim, CA, 92806
Get directionsHistory
Regulatory History (7)
Customer Dispute
March 2013Customer Dispute
February 2012Regulatory
March 1993Customer Dispute
April 1992Employment Separation After Allegations
March 1991Regulatory
September 1989Employment Separation After Allegations
April 1986Other Business Activities
Gene uses "Granite Bay Financial Strategy" as a DBA for branding and website purposes. This activity is not investment-related.
Employment History
Current Registrations
Centaurus Financial, INC.
Centaurus Financial, INC.Broker
Previous Registrations
Centaurus Financial, INC.
Questar Asset Management, INC.
Questar Capital CorporationBroker
Walnut Street Securities, INC.
Walnut Street Securities, INC.Broker
Signator Investors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
Foothill Securities, INC.Broker
First Compass Securities, INC.Broker
Financial West Investment GroupBroker
Darnall, Kemna & CO., INC.Broker
Wall Street Pacific Financial Resources, INC.Broker
Intercal Securities CO.Broker
Prudential-Bache Securities INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
State Registrations11 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.