James Baker

1. What are your firm names?

• Registered Investment Advisor

  Centaurus Financial, Inc.

• Broker Dealer

  Centaurus Financial, Inc.

2. What is your type of RIA registration?

• SEC

3. Are you a sole practitioner or a member of a firm or team?

• Sole Practitioner

4. What is your relationship to your Registered Investment Advisor?

• Independent Contractor

5. What are your years of applicable financial service experience?

• 47 Years

6. Do you have any college degree(s)?

7. Do you belong to any industry associations?

• Lehigh Valley (Pennsylvania) Estate Planning Council

8. What is your CRD or IARD number?

• 10764

9. Do you hold any active securities licenses?

• Series 63
• Series 7

10. Which categories of financial services do you provide?

• Financial Planning Advice & Services
• Investment Advice & Services
• Insurance Advice & Services

11. Which planning services do you provide?

• Financial Plans
• Retirement Plans
• College Plans
• Estate Plans
• Charitable Plans
• Other

12. Which investment advisory services do you provide?

• Investment Strategy & Policy
• Rebalancing
• Money Manager Selection
• Performance Reports
• Asset Allocation
• Risk Management

13. If you make investment decisions for clients, how do you invest their assets?

• Did Not Provide

14. How many clients (not accounts) do you currently service?

• Did Not Provide

15. What amount of client assets is currently under your management or advisement?

• Did Not Provide

16. What is minimum fee for your planning services?

• Did Not Provide

17. What is your minimum asset requirement for your investment services?

• $100,000

18. What is your minimum net worth requirement for your planning services?

• Did Not Provide

19. What type of compensation do you receive for your planning services?

• Asset Based Fees
• Hourly Fees
• Fixed Fees
• Commission (Investment)
• Commission (Insurance)

20. What type of compensation do you receive for your investment advisory services?

• Asset Based Fees
• Hourly Fees
• Fixed Fees
• Commission (Investment)
• Commission (Insurance)

21. Do you work with remote clients over the Internet and telephone?

• Yes

22. Do you hold any active insurance licenses?

• Life
• Annuity
• Long-Term Care
• Disability
• Health

23. Are you a Registered Investment Advisor or an Investment Advisor Representative?

• Yes

24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?

• Yes

25. What states are covered by your registration(s) to sell investment advisory services?

• Pennsylvania
• New Jersey
• New York
• Michigan
• Ohio
• Florida
• Maryland
• Massachusetts

26. What states are covered by your registration(s) to sell investment and brokerage products?

• Did Not Provide

27. What states are covered by your registration(s) to sell insurance products?

• Did Not Provide

28. Do you have any compliance disclosures for the past 5 years?

• Investment Disclosures: No
• Insurance Disclosures: No

29. Do you have any criminal disclosures since you became an adult?

• Misdemeanors: No
• Felonies: No

30. How do investors view your ADV Part II?

Available Upon Request

31. Additional Disclosure Statements or Comments

• Securities and advisory services offered through Centaurus Financial, Inc., a Registered Investment Advisor, Member FINRA and SIPC. Paladin Registry and Centaurus Financial, Inc. are not affiliated companies.

32. What languages do you speak fluently?

• Did Not Provide

33. What is your primary role?

• Did Not Provide

34. Which investment products do you sell?

• Mutual Funds
• Other

35. Which insurance products do you sell?

• Life
• Fixed Annuities
• Variable Annuities
• Long Term Care
• Disability Income
• Health

36. Do you provide tax advice and services?

• No

37. Do you provide legal advice and services?

• Did Not Provide

38. Do you provide any limited engagement services?

• Planning Only (No investment services)
• Financial Plan Reviews

39. What types of clients do you work with?

• Individuals
• Companies (Non-Pension)
• Companies (Pension)
• Public Funds
• Foundations

40. Where does your first meeting with a prospective client take place?

• Investor's Preference

41. Which companies act as custodians for your clients assets?

• Pershing
• Morningstar
• SEI

42. What types of reports do you provide your clients and what is the frequency?

• Performance ()
• Brokerage Statement ()
• Market Environment ()
• Newsletters ()
• Other ()

43. General Comments:

Certification