WD
William D. Dobbs
CENTAURUS FINANCIAL
Clinton, TN
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CRD#: 1064156
WD
Professional summary
William Dale Dobbs is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Clinton, Tennessee.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. William has worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 7 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.
1. DOBBS INSURANCE, AGENT, SINCE 1/10/2009, AT 2200 DOUGLAS BLVD., SUITE 110A, ROSEVILLE, CA 95661, LIFE INSURANCE, TAKE APPLICATIONS, WORK WITH UNDERWRITING, AND DELIVER THE POLICIES, DEVOTED TIME IS 4 HRS A MONTH, NON-INVESTMENT RELATED.
2. SWAN FINANICAL SERVICES, NON-INVESTMENT RELATED, 2450 DOUGLAS BLVD., SUITE 200, ROSEVILLE, CA 95661, DBA FOR BRANDING PURPOSES ONLY, SINCE 10/29/2020.
CRS (Client Relationship Summary) - RIA
Click below to view William Dale Dobbs's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Dale Dobbs'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
April 7, 2009 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Clinton, TN
Current
April 13, 2009 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Clinton, TN
Past
July 13, 2004 - December 18, 2008
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SACRAMENTO, CA
Past
July 20, 2000 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
SACRAMENTO, CA
Past
July 20, 2000 - December 18, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SACRAMENTO, CA
Past
March 25, 1997 - July 13, 2000
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
August 17, 1994 - March 6, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
August 17, 1994 - March 6, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
July 8, 1993 - August 1, 1994
FORTH FINANCIAL SECURITIES, CORPORATION
BD
CRD#: 14363
RICHMOND, VA
Past
July 2, 1991 - March 18, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
February 5, 1990 - October 10, 1990
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
October 8, 1982 - December 21, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
IAR
California(4/7/2009)
RR
California(4/14/2009)
RR
Iowa(3/28/2025)
RR
Tennessee(9/9/2021)
IAR
Tennessee(10/22/2021)
Exams
State Security Law Exam
State Security Law 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.
