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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

RICKY ALAN MANTEI

Advisor at CENTAURUS FINANCIAL, INC.

LEXINGTON, SC

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Search this name across graphsid dfx:ria:9fb51691-54ce-8a34-7b6c-434c8e0d33a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 18, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CENTAURUS FINANCIAL, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 8, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Mar 8, 1983
First registration: Feb 18, 2004
Dual registered: yes, broker-dealer
Other names: RICKY ALAN MANTEL
IAPD individual key: 1098981

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CENTAURUS FINANCIAL, INC.	Bd affiliated wealth	May 19, 2015	n/a	yes	LEXINGTON, SC	Current employment
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Former SEC adviser	Apr 12, 2010	Jun 15, 2015	no	LEXINGTON, SC	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Apr 8, 2008	Mar 29, 2010	no	LEXINGTON, SC\|TAMPA, FL\|GREENWOOD, SC\|AIKEN, SC	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Feb 18, 2004	Mar 26, 2008	no	COLUMBIA, SC\|GREENWOOD, SC\|AIKEN, SC\|LEXINGTON, SC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	CENTAURUS FINANCIAL, INC.	Jun 15, 2015	May 19, 2015	-27	Firm change	Other
GUNNALLEN FINANCIAL, INC	J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Mar 29, 2010	Apr 12, 2010	14	Firm change	Other
FIRST ALLIED SECURITIES, INC.	GUNNALLEN FINANCIAL, INC	Mar 26, 2008	Apr 8, 2008	13	Firm change	Other

Relationships

Registered with (4)

→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: current employment
May 19, 2015 to presentfactForm ADV
→ J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 12, 2010 to Jun 15, 2015factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Apr 8, 2008 to Mar 29, 2010factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Feb 18, 2004 to Mar 26, 2008factForm ADV

Dated events

No dated event names this entity yet.