Scott Allan
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.
Scott Allan, who also goes by Scott Allan Karosa, was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 1984. Scott had worked at 13 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2012 - March 30, 2012
CENTAURUS FINANCIAL, INC.
February 6, 2012 - March 30, 2012
CENTAURUS FINANCIAL, INC.
June 13, 2006 - December 16, 2011
NEXT FINANCIAL GROUP, INC.
June 13, 2006 - December 16, 2011
NEXT FINANCIAL GROUP, INC.
April 5, 2006 - June 9, 2006
LPL FINANCIAL LLC
April 5, 2006 - June 9, 2006
LPL FINANCIAL LLC
March 22, 2006 - April 5, 2006
NATIONAL PLANNING CORPORATION
December 12, 2005 - April 5, 2006
NATIONAL PLANNING CORPORATION
October 31, 2005 - December 16, 2005
OSAIC SERVICES, INC.
October 31, 2005 - December 16, 2005
OSAIC SERVICES, INC.
June 6, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
December 17, 1999 - October 31, 2005
SUNAMERICA SECURITIES, INC.
July 13, 1992 - December 23, 1999
OSAIC WEALTH, INC.
September 18, 1991 - June 2, 1992
LOCUST STREET SECURITIES, INC.
September 20, 1990 - September 16, 1991
FIDELITY EQUITY SERVICES CORPORATION
March 18, 1988 - May 25, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 2, 1986 - June 5, 1987
TOWER SQUARE SECURITIES, INC.
June 27, 1984 - July 8, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 27, 1984 - July 9, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
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.
