Rick E. Awtrey

Some features on this profile are disabled

CRD#: 1264993

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rick Eugene Awtrey, who also goes by Ricky Eugene Awtrey, Ricky Awtrey, was a registered financial professional .

Rick is a previously registered financial professional and started their career in finance in 1984. Rick had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ricky Eugene Awtrey | Ricky Awtrey

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 5, 2016 - December 21, 2023

CENTENNIAL SECURITIES COMPANY, INC.

RIA

CRD#: 7763

GRAND RAPIDS, MI

Past

June 25, 1990 - December 21, 2023

CENTENNIAL SECURITIES COMPANY, INC.

CRD#: 7763

GRAND RAPIDS, MI

Past

July 23, 1985 - March 27, 1990

FIRST OF MICHIGAN CORPORATION

CRD#: 311

DETROIT, MI

Past

May 10, 1984 - April 15, 1985

WADDELL & REED

CRD#: 866

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".

CENTENNIAL SECURITIES COMPANY, INC.

CRD#: 7763 / SEC#: 801-106623, 8-23406

RIA

Registered Investment Advisory firm - SEC (9/17/2015 Approved)

Illinois

Registered Investment Advisory firm - SEC (9/17/2015 Terminated)

Michigan

Registered Investment Advisory firm - SEC (9/24/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/24/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/7/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CENTENNIAL SECURITIES COMPANY, INC.

CRD#: 7763 / SEC#: 801-106623, 8-23406

RIA

Registered Investment Advisory firm - SEC (9/17/2015 Approved)

Illinois

Registered Investment Advisory firm - SEC (9/17/2015 Terminated)

Michigan

Registered Investment Advisory firm - SEC (9/24/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3075 Charlevoix Drive Se, Grand Rapids, MI 49546

Mailing Address

3075 Charlevoix Drive Se, Grand Rapids, MI 49546

Phone number

(616) 942-7680

Established

Michigan since 06/10/2013

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (18 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025 CSC - FORM ADV PART 2A (3/31/2025)

2025 CSC APPENDIX 1 WRAP FEE BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
DIEPSTRA, RYAN ANDREW	FINANCIAL ADVISOR/OWNER	4684402
HANSEN, RANDALL LEE	FINANCIAL ADVISOR/OWNER	1104122
KLUNDER, JAMES DALE	FINANCIAL ADVISOR / OWNER	1974282
BERNARDI, MARIO GIULIO	FINANCIAL ADVISOR / OWNER	1542163
KELLY, KEVIN WILLIAM	FINANCIAL ADVISOR / OWNER	2995050
OCHOA, MICHAEL ROBERT	FINANCIAL ADVISOR / OWNER	1301012
WIERENGA, JEFFREY DONALD	FINANCIAL ADVISOR / OWNER	4748730
BEESLEY, DONALD EDWARD	FINANCIAL ADVISOR / OWNER	1541425
KLINGER, ANDREW LEROY	PRESIDENT/CEO/COO/OWNER	7694999
MUSUMECI, WALTER	FINANCIAL ADVISOR/OWNER	6605061
NIEWALD, DOMINIC JOSEPH	FINANCIAL ADVISOR/OWNER	6287471
PEDDIE, JONATHAN THOMAS	FINANCIAL ADVISOR/OWNER	4451972
POWERS, JORDAN THOMAS	CHIEF COMPLIANCE OFFICER / CCO / CFO / FINOP	6711719
VANDERMOLEN, DANIEL LEE	FINANCIAL ADVISOR / OWNER	1384729

Regulatory assets under management

Total Number of Accounts	2,654
AUM (Assets Under Management)	$ 1,152,401,650

Disclosures

Regulatory Event

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rick E. Awtrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTENNIAL SECURITIES COMPANY, INC.

FIRST OF MICHIGAN CORPORATION

WADDELL & REED

Primary Firm SEC Registration

CENTENNIAL SECURITIES COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2016

Series 63

Date: 5/7/1984

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1985

Series 6

Date: 5/7/1984

Current Firm

CENTENNIAL SECURITIES COMPANY, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTENNIAL SECURITIES COMPANY, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors