Lawrence Elliott Smith

Employer firm

Centaurus Financial, Inc. CRD 30833

$9.74B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Centaurus Financial, Inc.

2300 East Katella Ave Suite 200, Anaheim, CA 92806 • United States

Current Registrations

Authority	Category	Status	Date
AK	RA	APPROVED	2023-04-25
FL	RA	APPROVED	2022-11-29
TX	RA	APPROVED_RES	2021-10-07
UT	RA	APPROVED	2020-07-20
AZ	RA	APPROVED	2012-02-21
NV	RA	APPROVED	2011-01-14
ID	RA	APPROVED	2011-01-05
CA	RA	APPROVED	2007-06-27

AK RA
APPROVED

Since 2023-04-25
FL RA
APPROVED

Since 2022-11-29
TX RA
APPROVED_RES

Since 2021-10-07
UT RA
APPROVED

Since 2020-07-20
AZ RA
APPROVED

Since 2012-02-21
NV RA
APPROVED

Since 2011-01-14
ID RA
APPROVED

Since 2011-01-05
CA RA
APPROVED

Since 2007-06-27

Branch Locations

Laguna Niguel, CA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Centaurus Financial, Inc.	Orange	CA	06/2007	Present

06/2007 → Present

Centaurus Financial, Inc.

Orange, CA

Previous Registrations

2000-03-01 → 2007-06-27

Brookstreet Securities Corporation

San Juan Capistrano, CA

San Juan Capistrano, CA

Laguna Niguel, CA

Other Businesses

FIRST PORTFOLIO FINANCIAL, NON-INVESTMENT RELATED, 30012 IVY GLENN, #120, LAGUNA NIGUEL, CA 92677, PAYROLL TO EMPLOYEES AND BILLS, OWNER, SINCE 6/1/1995, DEVOTED TIME IS 160 HRS A MONTH, SALES.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-03-13
S63	Uniform Securities Agent State Law Examination	1986-04-25

S65 Uniform Investment Adviser Law Examination

1999-03-13
S63 Uniform Securities Agent State Law Examination

1986-04-25

View on SEC IAPD