KS
Kelley S. Slaught
CENTAURUS FINANCIAL
Santa Barbara, CA 93101
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CRD#: 1126586
KS
Professional summary
Kelley Susan Slaught, who also goes by Kelley Susan Smith, Kelley Susan Smith-slaught, Kelley Susan Smithslaught, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Santa Barbara, California.
Kelley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Kelley has worked at 1 firm and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelley Susan Smith | Kelley Susan Smith-Slaught | Kelley Susan Smithslaught
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. CALIFORNIA WEALTH ADVISORS, NON-INVESTESTMENT RELATED, 10 E. FIGUEROA ST., SUITE #204, SANTA BARBARA, CA 93101, DBA FOR MARKETING PURPOSES, OWNER, SINCE 4/8/2019. 2. AMERICAN PATRIOTIC MERCHANDISE, NON INVESTMENT RELATED, P.O. BOX 3314, SANTA BARBARA, CA 93130, SELL AMERICAN PATRIOTIC PROMOTIONAL ITEMS, SALES, START DATE 4/09, APPROX NUMBER OF HOURS 5 PER MONTH. 3. THE GREAT RETIRMENT MYSTERY BOOK, INVESTMENT RELATED, 10 E. FIGUEROA, SUITE #204, SANTA BARBARA, CA 93101, BOOK SALES ON AMAZON, OWNER, SINCE 1/15/2022, DEVOTED TIME IS HALF HOUR A MONTH, I MENTION THE BOOK ON MY RADIO SHOW. 4. CALIFORNIA WEALTH ADVISORS RENT POSITION: CEO NATURE: Rent out a conference room INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/15/2022 ADDRESS: 10 E. Figueroa St., Suite #204, Santa Barbara CA 93101, United States DESCRIPTION: We plan on renting out a conference room we have periodically
CRS (Client Relationship Summary) - RIA
Click below to view Kelley Susan Slaught's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kelley Susan Slaught'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
January 9, 2013 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 10 E. Figueroa Street Suite #204, Santa Barbara, CA 93101RIA
BD
CRD#: 30833
Santa Barbara, CA
Current
November 21, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 10 E. Figueroa Street Suite #204, Santa Barbara, CA 93101RIA
BD
CRD#: 30833
Santa Barbara, CA
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(1/14/2016)
IAR
Arizona(1/27/2016)
RR
California(1/9/2013)
IAR
California(1/9/2013)
RR
Colorado(6/19/2017)
IAR
Colorado(6/19/2020)
IAR
Florida(1/3/2025)
RR
Florida(5/14/2025)
RR
Hawaii(3/3/2017)
IAR
Hawaii(5/5/2022)
RR
Massachusetts(4/17/2018)
IAR
Massachusetts(2/16/2021)
IAR
Michigan(10/9/2023)
RR
Nevada(5/10/2013)
IAR
Nevada(6/16/2022)
RR
New York(10/9/2014)
RR
Oregon(8/30/2017)
IAR
Oregon(8/15/2023)
RR
South Dakota(6/24/2024)
IAR
South Dakota(6/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General 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#: 30833Santa Barbara, CA 93101TRUST BUT VERIFY
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