Constance M. Beckley
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.
Constance Mae Beckley, who also goes by Connie Beckley, was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 1984. Constance had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - August 6, 2015
CENTAURUS FINANCIAL, INC.
December 14, 2012 - August 6, 2015
CENTAURUS FINANCIAL, INC.
March 31, 2012 - April 2, 2012
ALAMO ASSET ADVISORS
December 3, 2010 - December 10, 2012
WFG INVESTMENTS, INC.
July 31, 2009 - December 15, 2010
SORRENTO PACIFIC FINANCIAL, LLC
September 17, 2008 - December 3, 2010
PARTNERVEST ADVISORY SERVICES LLC
April 3, 2007 - January 2, 2008
PARTNERVEST ADVISORY SERVICES LLC
December 18, 2006 - July 31, 2009
PARTNERVEST SECURITIES, INC.
February 11, 1999 - December 15, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
July 25, 1997 - December 15, 2006
ASSOCIATED SECURITIES CORP.
November 8, 1991 - August 7, 1997
RAGEN MACKENZIE INVESTMENT SERVICES, LLC
December 19, 1984 - November 18, 1991
INTERPACIFIC INVESTORS SERVICES, INC.
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.
