Business Description

Steven P. Margulin has a true passion for financial and life planning. His expertise goes beyond merely preparing financial plans, tax returns and picking investments. As a non-judgmental advisor, he will strive to add value to your life. He will help you gain the needed confidence to make the decisions necessary to continually progress toward achieving your personal and financial goals. As a life planner, one of Steven?s basic tenets is you should use your money to make a life, not use your life to make money. To that end, he will assist you in establishing financial goals that facilitate your life goals.

Your success, wealth, and peace of mind are Steven?s primary focus. He will encourage you to commit to the goals you set. One proven method he uses to do this is to have you delegate your financial details to him and his firm without giving up control of your money. This enables you to accomplish what is important, such as spending time on activities and people you enjoy.

General Information

Gender:

Male

CRD#:

2373728

Name of Broker/Dealer:

Centaurus Financial Inc

Name of Custodial Firm:

Pershing LLC

States Licensed in:

NM, TX, CA, CO, MO, KS, NY, IL

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations, Endowments and Foundations

Education

Academic Background

BA, Economics - California State University, Northridge

Graduate Level Coursework in Taxation - San Joaquin College of Law

Services

Investment Types:

Real Estate, Mutual Funds, Bonds, Stocks, Annuities, Exchange Traded Funds (ETFs), Alternative Investments, Insurance, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Public Accountant (CPA), Certified Management Accountant (CMA®), Insurance License (Life & Health; Long Term Care; Specify below), Chartered Financial Consultant (ChFC)

Securities Licenses:

Series 63, Series 24, Series 7

Insurance and Annuity Licenses:

Variable Annuity, Long Term Care, Variable Life, Annuity, Life

Financial Organization Memberships:

Financial Planning Association (FPA)

Non-Financial Organization Memberships:

AICPA, IMA

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

Assets Managed by Firm:

$32,000,000

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$32,000,000

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$250,000

Compensation Methods:

Hourly, Based on Assets

Fee % Based on Assets:

1.25

Hourly Rate:

180

Additional Details on Charges:

Desiring a long-term professional relationship, and working for an annual retainer offset by assets under management, Steven will make every effort to know and treat you as a unique individual. He will be with you every step as you pursue your life goals. He will lend support, wisdom and guidance even in areas you may never have expected nor thought you needed it. To assure you receive the personal attention you deserve and expect, his client list is kept to a limited, manageable number.

Prepared By:

Steven Margulin

Most Recent Update:

07/11/2008