Kimble M. Johnson
Professional summary
Kimble Milton Johnson, who also goes by Kim Johnson, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Louisville, Kentucky.
Kimble is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Kimble has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kimble Milton Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimble Milton Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2015 - Present
CENTAURUS FINANCIAL, INC.
August 31, 2015 - Present
CENTAURUS FINANCIAL, INC.
January 18, 2008 - September 9, 2015
LPL FINANCIAL LLC
January 18, 2008 - September 9, 2015
LPL FINANCIAL LLC
February 21, 2003 - January 24, 2008
WADDELL & REED
December 5, 2002 - January 24, 2008
WADDELL & REED
June 29, 2001 - December 14, 2001
MONY SECURITIES CORPORATION
October 2, 1998 - June 12, 2001
1717 CAPITAL MANAGEMENT COMPANY
August 14, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 14, 1992 - September 9, 1998
SIGNATOR INVESTORS, INC.
June 6, 1991 - August 11, 1992
MONY SECURITIES CORPORATION
June 22, 1989 - May 16, 1991
MML INVESTORS SERVICES, LLC
August 31, 1984 - October 13, 1987
MUTUAL SERVICE CORPORATION
October 21, 1983 - September 12, 1984
CARDELL & ASSOCIATES, INCORPORATED
August 7, 1982 - October 11, 1983
TOWER INVESTMENT MANAGEMENT, INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2024)
(1/4/2024)
(9/3/2015)
(9/11/2015)
(8/31/2015)
(2/9/2016)
(8/31/2015)
(9/4/2015)
(8/31/2015)
(8/31/2015)
Exams
FINRA
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
