RN
Richard H. Nelson
CENTAURUS FINANCIAL
San Diego, CA 92108
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CRD#: 1023396
RN
Professional summary
Richard Herbert Nelson is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in San Diego, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
PRESIDENT, NELSON PENSION & INSURANCE, INC., 3465 CAMINO DEL RIO, SOUTH, SUITE #250,SAN DIEGO, CA 92108. DBA ONLY-USE FOR BRANDING ONLY. I SELL FIXED INSURANCE THROUGH THIS ENTITY. I SPEND APPROX. 120 HOURS PER MONTH ON THIS ACTIVITY.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Herbert Nelson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Herbert Nelson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 30, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3465 Camino Del Rio South Suite #250, San Diego, CA 92108RIA
BD
CRD#: 30833
San Diego, CA
Current
October 29, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3465 Camino Del Rio South Suite #250, San Diego, CA 92108RIA
BD
CRD#: 30833
San Diego, CA
Past
June 17, 2011 - November 14, 2012
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
June 17, 2011 - November 14, 2012
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SAN DIEGO, CA
Past
November 22, 2006 - June 17, 2011
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
SAN DIEGO, CA
Past
September 8, 2006 - October 2, 2006
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
SAN DIEGO, CA
Past
February 19, 1999 - June 17, 2011
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
SAN DIEGO, CA
Past
October 22, 1993 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 22, 1993 - February 22, 1999
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
February 14, 1983 - October 22, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/2/2018)
RR
California(10/29/2012)
IAR
California(10/30/2012)
RR
Colorado(11/21/2019)
RR
Florida(1/26/2021)
RR
Hawaii(3/27/2019)
RR
Idaho(10/7/2020)
RR
Minnesota(2/11/2015)
RR
Nevada(10/3/2013)
RR
Washington(3/4/2019)
IAR
Washington(3/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2300 E. Katella Avenue Suite 200, Anaheim, CA 92806
Mailing Address
2300 E. Katella Avenue Suite #200, Anaheim, CA 92806
Phone number
(714) 456-1790
Established
California since 08/27/1992
Firm type
Corporation
Fiscal year end
April
Firm Size
Large
# of Employees
580
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.
