Investor Information

Centaurus Financial, Inc. is committed to providing investors with valuable information needed to make knowledgeable and informed investment decisions. This page provides you with important information that you may wish to consider when making investments with Centaurus Financial, Inc. and a Centaurus registered representative:

• Additional Compensation Disclosure
• ADV Disclosures
• Annual Disclosures Document 2023
• Centaurus Business Continuity Plan
• Customer Complaint Reporting Information
• Customer Relationship Summary (Form CRS)
• FINRA Customer Identification Program Notice
• FINRA Mutual Fund Breakpoints:
  • Mutual Fund Breakpoint Discounts & Sales Charge Waivers Disclosure Statement
  • Mutual Fund Breakpoints: A Break Worth Taking
• FINRA Investor Alerts
  • The IRA Rollover: 10 Tips to Making a Sound Decision
  • Protecting Seniors from Financial Exploitation
• FINRA Should You Exchange Your Variable Annuity?
• Pershing Business Continuity Plan
• Pershing’s “Pandemic Preparedness Statement”
• Privacy Policy & Practices
• Regulation Best Interest Disclosures
• SEC Order Execution / Routing Disclosure – Pershing
• SEC Order Execution / Routing Disclosure – Schwab
• Sweep Program General Terms & Conditions
• Schwab Business Continuity Plan