CH
Carol B. Holm
CENTAURUS FINANCIAL
Blackfoot, ID 83221
Some features on this profile are disabled
CRD#: 1178157
CH
Professional summary
Carol Butler Holm, who also goes by Carol Butler, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Blackfoot, Idaho.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Carol has worked at 5 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carol Butler
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.
C&C BOOKS LLC, NON-INVESTMENT RELATED, 494 NORTH MERIDIAN, BLACKFOOT, IDAHO 83221, SELL BOOKS, OWNER/PARTNER, SINCE 2/1/2012, DEVOTED TIME IS 12 HRS A MONTH, PROMOTING THE BOOK, DOING MAGAZINE OR RADIO INTERVIEWS. CAROL HOLM FINANCIAL, ADVISOR, SINCE 1/9/1999, 494 NO. MERIDIAN, BLACK FOOT, IDAHO 83221, I DO NON-VARIABLE LIFE INSURANCE, SALE OF FIXED INSURANCE AND /OR FIXED ANNUITIES WITH SEVERAL COMPANIES, DEVOTED TIME IS 4 HRS A MONTH, NON- INVESTMENT RELATED.
CAROL HOLM, AUTHOR, SOLE PROPRIETOR, SINCE 7/8/1999, AT 524 WEST 37TH SOUTH, BLACKFOOT, ID, A BOOK ABOUT GOAL SETTING, NON-INVESTMENT RELATED. CAROL HOLM, AUTHOR, SOLE PROPRIETOR, SINCE 1/1/2001, AT 524 WEST 37TH SOUTH, BLACKFOOT, ID 83221, I AM WRITING A BOOK ON USING THE POWER OF THE MIND TO ACHIEVE GOALS,CURENTLY WITH AN EDITOR TO CREATE A MANUSCRIPT TO BE PRINTED, DEVOTED TIME IS 40 HRS A MONTH, NON-INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Carol Butler Holm's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carol Butler Holm'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 17, 2006 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 494 N. Meridian, Blackfoot, ID 83221RIA
BD
CRD#: 30833
Blackfoot, ID
Current
January 5, 2006 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 494 N. Meridian, Blackfoot, ID 83221RIA
BD
CRD#: 30833
Blackfoot, ID
Past
September 29, 2004 - January 12, 2006
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
BLACKFOOT, ID
Past
September 2, 2004 - January 12, 2006
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
October 8, 2002 - July 23, 2004
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
April 6, 2001 - October 4, 2002
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
BLACKFOOT, ID
Past
September 12, 1983 - October 3, 2002
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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
Arizona(1/24/2006)
IAR
Arizona(5/23/2012)
RR
California(1/18/2006)
RR
Idaho(1/13/2006)
IAR
Idaho(1/17/2006)
RR
Texas(8/22/2016)
RR
Washington(1/5/2006)
IAR
Washington(1/5/2011)
RR
Wyoming(10/25/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/13/2008
Corporate Securities Limited Representative ExaminationGeneral 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.
