Irvine, CA Oak Canyon Drive Office

Team
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Centaurus Financial, Inc. logo

Centaurus Financial, Inc.

Enterprise

Firm-wide stats for Centaurus Financial, Inc.

Total advisors

432

Across 197 offices

Clients per advisor

105 High

Avg AUM per client

$213,989 Very Low

HNW client ratio

1% Very Low

About

Centaurus Financial, Inc. provides advisory and brokerage services to a broad mix of clients including individuals (both non‑HNW and high‑net‑worth), families, small businesses, corporations, trusts, and foundations. Its IARs deliver financial planning, portfolio management through the CLASSIC Plus platform (including FlexUMA and TPMM options), retirement-plan consulting, and specialized services such as advisory management of annuity and variable life sub‑accounts.

The firm offers both discretionary and non‑discretionary arrangements, with a larger share of assets managed on a non‑discretionary basis — $3.21 billion discretionary versus $6.53 billion non‑discretionary as of April 30, 2026 — and IARs employ a mix of fundamental, technical (including charting), bottom‑up and top‑down analysis. Clients may be placed on model overlay programs (FlexUMA) with a third‑party overlay manager, use tax‑overlay services, or be referred to approved third‑party money managers; the firm also has policies to permit a limited set of non‑traded alternative investments (including certain REITs and DPPs) in fee accounts under specified conditions.

Compared with many peers, Centaurus is dually registered as an RIA and a FINRA member broker‑dealer, has management personnel licensed as real estate brokers and insurance agents, and maintains procedures to hold and value certain illiquid real‑estate‑related investments in advisory accounts. Its disclosure history includes multiple regulatory matters resolved with the SEC and FINRA (including a FINRA finding in July 2026), and the firm describes specific conflicts‑of‑interest mitigations such as crediting back 12b‑1 fees and disclosing cash‑sweep and transition‑credit arrangements with its clearing firm.

Based on Centaurus Financial, Inc.

Expertise

Wealth management Private / alternative investments Annuities Retirement plans for business owners (SEP, solo 401k) General tax planning

Based on Centaurus Financial, Inc.

Occupation focus

Founder/Business Owner

Based on Centaurus Financial, Inc.

Location

6201 Oak Canyon Drive, Suite #200

Irvine CA 92618

Advisors at this office

5

Advisors at this office

user avatar

Scott S

Series 63

Irvine, CA

Centaurus Financial, Inc.

Scott Schiffer is a financial advisor at Centaurus Financial, Inc. with 28 years of industry experience. He holds a Series 63 designation and has been with Centaurus since 1998. In addition to his advisory role, Schiffer is a senior partner at Kieckhafer Schiffer LLP, a certified public accounting firm where he oversees client tax matters and supervises accounting staff. Centaurus Financial, Inc. provides advisory and brokerage services to a diverse client base, including individuals, families, businesses, corporations, trusts, and foundations. The firm offers financial planning, portfolio management, retirement-plan consulting, and specialized services, employing a variety of investment analyses and both discretionary and non-discretionary arrangements.

Wealth management Private / alternative investments Annuities Retirement plans for business owners (SEP, solo 401k) General tax planning Founder/Business Owner
user avatar

Ray V

Series 66

Irvine, CA

Centaurus Financial, Inc.

Ray Valencia is a financial advisor at Centaurus Financial, Inc. in Irvine, CA, holding a Series 66 designation with 15 years of industry experience. His prior roles include positions at LPL Enterprise, The Prudential Insurance Company of America, and Kovack Securities, among others. Outside of his advisory work, Valencia is active as a licensed insurance agent specializing in life, long-term care, disability, and health insurance and owns Valencia Wealth Management LLC. Centaurus Financial, Inc. provides advisory and brokerage services to a diverse client base, including individuals, families, businesses, and institutions. The firm offers financial planning and portfolio management through its CLASSIC Plus platform, utilizing a range of investment strategies and both discretionary and non-discretionary account management.

Wealth management Private / alternative investments Annuities Retirement plans for business owners (SEP, solo 401k) General tax planning Founder/Business Owner
user avatar

James K

Series 63, Series 65

Irvine, CA

Centaurus Financial, Inc.

James Kieckhafer is a financial advisor at Centaurus Financial, Inc. in Irvine, CA, with 27 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Centaurus since 1998. In addition to his advisory role, he is a partner at Kieckhafer, Lane & Schiffer LLP, providing CPA services, tax consulting, and attest services. Centaurus Financial, Inc. offers advisory and brokerage services to a diverse client base including individuals, families, businesses, and trusts. The firm provides financial planning, portfolio management, and specialized retirement-plan consulting, utilizing both discretionary and non-discretionary arrangements with various investment analysis techniques and overlay programs.

Wealth management Private / alternative investments Annuities Retirement plans for business owners (SEP, solo 401k) General tax planning Founder/Business Owner
user avatar

Gregory J

CFP®, Series 63, Series 65

Irvine, CA

Centaurus Financial, Inc.

Gregory Johnstone is a financial advisor with Centaurus Financial, Inc. in Irvine, CA, holding the CFP® designation and Series 63 and 65 licenses. He has 28 years of industry experience, including 24 years at Centaurus Financial and over 30 years running Johnstone & Associates. Outside of advising, he serves as president of KSWM Inc., an accounting and administrative entity. Centaurus Financial provides advisory and brokerage services to a diverse client base, including individuals, families, businesses, and institutions. The firm’s investment approach combines fundamental and technical analysis with discretionary and non-discretionary management, offering specialized services such as retirement-plan consulting and advisory management of annuity and variable life sub-accounts.

Wealth management Private / alternative investments Annuities Retirement plans for business owners (SEP, solo 401k) General tax planning Founder/Business Owner
user avatar

Ian H

Series 66

Irvine, CA

Centaurus Financial, Inc.

Ian Hornstein is a financial advisor with Centaurus Financial, Inc. in Irvine, CA. He holds a Series 66 designation and has 17 years of industry experience. Since 2007, he has also worked as a tax manager at Kieckhafer, Schiffer and Company LLP, focusing on tax preparation. Centaurus Financial, Inc. provides advisory and brokerage services to a diverse client base, including individuals, families, small businesses, and institutions. The firm offers financial planning, portfolio management, and specialized retirement-plan consulting through multiple investment platforms and employs a mix of fundamental and technical analysis.

Wealth management Private / alternative investments Annuities Retirement plans for business owners (SEP, solo 401k) General tax planning Founder/Business Owner
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