RM
Ricky A. Mantei
CENTAURUS FINANCIAL
Lexington, SC 29072
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CRD#: 1098981
RM
Professional summary
Ricky Alan Mantei, who also goes by Ricky Alan Mantel, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Lexington, South Carolina.
Ricky is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Ricky has worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 31, Series 5, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ricky Alan Mantel
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. COLA WEALTH ADVISORS, NON-INVESTMENT RELATED, 4580 SUNSET BLVD., LEXINGTON, SC 29072, DBA FOR MARKETING AND BRANDING PURPOSES ONLY, BRANCH MANAGER, SINCE 7/15/2019. 2. EMPIRE BUSINESS BROKERS, NON-INVESTMENT RELATED, 1361 W. WADE HAMPTON BLVD., SUITE F, GREER, SC 29650, BUSINESS EXIT PLANNING AND COACHING SERVICES, SINCE 11/11/2016, DEVOTED TIME IS 1 HOUR A MONTH, THIS WILL BE OFFERED AS A SERVICE TO OUR EXISTING BROKERAGE CLIENTS. 3. OWNER, MANTEI & ASSOCIATES, 4580 SUNSET BLVD., LEXINGTON, SC 29072. INVESTMENT RELATED SINCE 1995 AND I SPEND APPROX. 250-300 HOURS PER MONTH ON THIS ACTIVITY. THIS IS THE FRANCHISE BUSINESS ENTITY NAME FOR MANTEI'S BUSINESS. 4. CRUMP, 2406 QUININE LANE,COLUMBIA, SC 29204. NON INVESTMENT RELATED SINCE 2012 AND I SPEND APPROX. ONE HOUR PER MONTH ON THIS ACTIVITY. 5. PROPERTY & CASUALTY, AGENT, PROFESSIONAL BROKERS REALTY, P.O. BOX 49971, GREENWOOD, SC 29649. NON INVESTMENT RELATED SINCE 2010 AND I SPEND APPROX. ONE HOUR PER MONTH ON THIS ACTIVITY. REAL ESTATE REFERRALS.
CRS (Client Relationship Summary) - RIA
Click below to view Ricky Alan Mantei's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricky Alan Mantei'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
May 19, 2015 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4580 Sunset Blvd., Lexington, SC 29072RIA
BD
CRD#: 30833
Lexington, SC
Current
May 19, 2015 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4580 Sunset Blvd., Lexington, SC 29072RIA
BD
CRD#: 30833
Lexington, SC
Past
April 12, 2010 - June 15, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
LEXINGTON, SC
Past
March 30, 2010 - June 15, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
LEXINGTON, SC
Past
April 8, 2008 - March 29, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
LEXINGTON, SC
Past
March 6, 2008 - March 29, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
LEXINGTON, SC
Past
February 18, 2004 - March 26, 2008
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
LEXINGTON, SC
Past
October 3, 2000 - March 26, 2008
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LEXINGTON, SC
Past
September 7, 1995 - October 24, 2000
D.E. FREY & COMPANY, INC.
BD
CRD#: 23595
DENVER, CO
Past
March 2, 1983 - August 11, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Georgia(5/19/2015)
RR
South Carolina(5/19/2015)
IAR
South Carolina(5/19/2015)
RR
Tennessee(6/1/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 3/30/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Lexington, SC 29072TRUST BUT VERIFY
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