TT
Timothy N. Tremblay
CENTAURUS FINANCIAL
SANTA BARBARA, CA 93105
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CRD#: 1201542
TT
Professional summary
Timothy Neil Tremblay is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Santa Barbara, California.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Timothy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
1. STEVENS & ASSOCIATES INSURANCE AGENCY, INC., NON-INVESTMENT RELATED, 5266 HOLLISTER AVE., SUITE B-214, SANTA BARBARA, CA 93111, PROVIDE REFERRALS TO LOCAL MEDICARE INSURANCE, SINCE 10/5/2015, DEVOTED TIME IS 1 HR. 2. TREMBLAY FINANCIAL SERVICES SINCE 1997, NON-INVESTMENT RELATED, 3902 STATE ST., #101, SANTA BARBARA, CA 93105, DBA FOR MARKETING PURPOSES ONLY, OWNER, SINCE 6/30/1997. AGENT, 3902 STATE STREET, SUITE #101, SANTA BARBARA, CA 93105, INVESTMENT RELATED SINCE 5/2010 AND I SPEND APPROX. 5 HOURS ON THIS ACTIVITY, SALE OF FIXED LIFE. 3. COLAB POSITION: Board Member NATURE: Participate in meetings with COLAB (The coalition of labor, agriculture & business). COLAB is the first and only Santa Barbara County coalition to bridge the gap between the Northern and Southern portions of our County, and successfully bring together organized labor, agriculture and business. COLAB's Board of Directors reflects its membership with representatives from organized labor, agriculture and from various sectors of the business community. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/29/2024 ADDRESS: PO Box 7523, Santa Maria CA 93456, United States DESCRIPTION: COLAB Board of Directors position unpaid 4. SANTA BARBARA TAX ADVISORY CENTER POSITION: Chairman NATURE: Organization comprised of local business leaders that gather to discuss issues and potential solutions that affect our local economy in Santa Barbara. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/23/2024 ADDRESS: 1012 Palmetto Way, Unit C, Carpinteria CA 93013, United States DESCRIPTION: Unpaid board member. Participate board meetings to discuss local issues that affect the local economy in Santa Barbara County.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Neil Tremblay's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Neil Tremblay'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 16, 2003 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3902 State Street Suite #101, Santa Barbara, CA 93105Office #2: 32129 Lindero Canyon Road Suite #107, Westlake Village, CA 91361RIA
BD
CRD#: 30833
SANTA BARBARA, CA
Current
May 16, 2003 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3902 State Street Suite #101, Santa Barbara, CA 93105Office #2: 32129 Lindero Canyon Road Suite #107, Westlake Village, CA 91361RIA
BD
CRD#: 30833
SANTA BARBARA, CA
Past
July 27, 2001 - May 21, 2003
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SANTA BARBARA, CA
Past
July 28, 1997 - May 21, 2003
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
May 31, 1995 - July 10, 1997
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
NEWPORT BEACH, CA
Past
April 2, 1993 - June 5, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 10, 1986 - February 27, 1986
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
October 20, 1983 - March 16, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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(6/13/2003)
IAR
California(5/16/2003)
RR
California(5/20/2003)
RR
District of Columbia(6/25/2003)
RR
Florida(7/15/2022)
RR
Illinois(6/9/2003)
RR
Kansas(4/15/2004)
RR
Kentucky(9/20/2022)
RR
Michigan(8/18/2022)
RR
New Mexico(4/13/2004)
IAR
New Mexico(8/21/2020)
RR
New York(5/13/2004)
RR
North Carolina(5/16/2003)
RR
Pennsylvania(5/16/2003)
IAR
Pennsylvania(1/6/2011)
RR
South Carolina(6/24/2022)
RR
Tennessee(7/24/2003)
RR
Texas(11/3/2003)
RR
Washington(5/19/2003)
RR
West Virginia(11/21/2022)
Exams
State Security Law Exam
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
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Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Santa Barbara, CA 93105TRUST BUT VERIFY
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