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

STEVEN WESLEY KAPSIMALIS

Advisor at CENTAURUS FINANCIAL, INC.

ANAHEIM, CA | DRAPER, UT

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 15, 1996 to Sep 15, 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: Dec 21, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 6
Exams: S63|S65
First exam: Dec 21, 1982
First registration: Apr 15, 1996
Dual registered: yes, broker-dealer
Other names: STEVEN W KAPSIMALIS
IAPD individual key: 1077522

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	Apr 12, 2012	n/a	yes	ANAHEIM, CA\|DRAPER, UT	Current employment
FIRST WESTERN ADVISORS	Former SEC adviser	Mar 29, 2012	Apr 4, 2012	no	HOLLADAY, UT	Previous registration
PAULSON INVESTMENT COMPANY, LLC	Former SEC adviser	Nov 1, 2007	Apr 2, 2012	no	PORTLAND, OR\|LAKE OSWEGO, OR\|SOUTH JORDAN, UT	Previous registration
INVESTMENT MANAGEMENT CORPORATION	n/a	Apr 15, 1996	Nov 23, 2007	no	SANDY, UT\|SALT LAKE CITY, UT\|BOUNTIFUL, UT\|SALT LAKE CITY, UT	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
FIRST WESTERN ADVISORS	CENTAURUS FINANCIAL, INC.	Apr 4, 2012	Apr 12, 2012	8	Firm change	Other
PAULSON INVESTMENT COMPANY, LLC	FIRST WESTERN ADVISORS	Apr 2, 2012	Mar 29, 2012	-4	Firm change	Other
INVESTMENT MANAGEMENT CORPORATION	PAULSON INVESTMENT COMPANY, LLC	Nov 23, 2007	Nov 1, 2007	-22	Firm change	Other

Relationships

Registered with (4)

→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: current employment
Apr 12, 2012 to presentfactForm ADV
→ FIRST WESTERN ADVISORSRegistered adviserregistration: previous registration
Mar 29, 2012 to Apr 4, 2012factForm ADV
→ PAULSON INVESTMENT COMPANY, LLCRegistered adviserregistration: previous registration
Nov 1, 2007 to Apr 2, 2012factForm ADV
→ INVESTMENT MANAGEMENT CORPORATIONRegistered adviserregistration: previous registration
Apr 15, 1996 to Nov 23, 2007factForm ADV

Dated events

No dated event names this entity yet.