LS
Lawrence E. Smith
CENTAURUS FINANCIAL
Laguna Niguel, CA 92677
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CRD#: 1139782
LS
Professional summary
Lawrence Elliott Smith is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Laguna Niguel, California.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Lawrence has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 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.
FIRST PORTFOLIO FINANCIAL, NON-INVESTMENT RELATED, 30012 IVY GLENN, #120, LAGUNA NIGUEL, CA 92677, PAYROLL TO EMPLOYEES AND BILLS, OWNER, SINCE 6/1/1995, DEVOTED TIME IS 160 HRS A MONTH, SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Elliott Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Elliott Smith'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
June 27, 2007 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 30012 Ivy Glenn Suite #120, Laguna Niguel, CA 92677RIA
BD
CRD#: 30833
Laguna Niguel, CA
Current
June 27, 2007 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 30012 Ivy Glenn Suite #120, Laguna Niguel, CA 92677RIA
BD
CRD#: 30833
Laguna Niguel, CA
Past
January 18, 2002 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past
March 1, 2000 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
RIA
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past
October 12, 1995 - July 20, 1998
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
July 13, 1992 - August 17, 1995
LAZAR FREDERICK & COMPANY
BD
CRD#: 15615
BEVERLY HILLS, CA
Past
May 10, 1990 - July 22, 1992
FORTRESS SECURITIES, INC.
BD
CRD#: 19613
Past
March 7, 1988 - May 16, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 6, 1985 - March 12, 1988
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
December 3, 1985 - December 26, 1985
R. H. MOULTON & CO.
BD
CRD#: 690
Past
January 3, 1985 - December 23, 1985
B.O.C.L. SECURITIES CORP.
BD
CRD#: 15332
Past
August 24, 1983 - January 22, 1985
MUNICICORP OF CALIFORNIA
BD
CRD#: 7184
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
Alaska(8/4/2020)
IAR
Alaska(4/25/2023)
IAR
Arizona(2/21/2012)
RR
Arizona(5/4/2022)
RR
California(6/27/2007)
IAR
California(6/27/2007)
RR
Florida(11/29/2022)
IAR
Florida(11/29/2022)
IAR
Idaho(1/5/2011)
RR
Idaho(3/28/2014)
IAR
Nevada(1/14/2011)
RR
Nevada(10/9/2014)
RR
Texas(6/22/2016)
IAR
Texas(10/7/2021)
IAR
Utah(7/20/2020)
RR
Utah(6/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
