Young M. Kim

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CRD#: 1087988

Professional summary

Young Min Kim was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Young is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Young had worked at 5 firms, which includes CENTAURUS FINANCIAL INC., SECURITIES AMERICA INC., EQUITABLE ADVISORS LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, INTERFIRST CAPITAL CORPORATION.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Kim

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.

SOLE PROPRIETOR; MAINPLACE FINANCIAL; 540 N. GOLDEN CIRCLE, #205, SANTA ANA, CA 92705; START DATE 1-1-2001; INVESTMENT RELATED; 160 HOURS PER MONTH; DBA FOR BRANDING PURPOSES ONLY.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 29, 2010 - April 6, 2022

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

SANTA ANA, CA

Past

October 23, 2006 - April 6, 2022

CENTAURUS FINANCIAL, INC.

CRD#: 30833

SANTA ANA, CA

Past

September 20, 2004 - July 14, 2006

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

SANTA ANA, CA

Past

September 27, 2001 - July 14, 2006

CENTAURUS FINANCIAL, INC.

CRD#: 30833

SANTA ANA, CA

Past

May 4, 1999 - October 1, 2001

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

October 29, 1985 - March 17, 1999

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

October 29, 1985 - June 21, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

January 19, 1983 - November 18, 1985

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/28/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/14/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/19/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/13/2004

General Securities Principal Examination

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

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.

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Firm Stability Insights

Young M. Kim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

SECURITIES AMERICA, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/28/2010

Series 63

Date: 8/14/2000

Series 65

Date: 4/19/1996

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2003

Series 24

Date: 8/13/2004

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

TRUST BUT VERIFY

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