MO
Michael R. Ochoa
CENTENNIAL SECURITIES COMPANY
Chicago, IL 60603
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CRD#: 1301012
MO
Professional summary
Michael Robert Ochoa is a registered financial advisor currently at CENTENNIAL SECURITIES COMPANY, INC. located in Chicago, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Robert Ochoa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Robert Ochoa'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
April 12, 2011 - Present
CENTENNIAL SECURITIES COMPANY, INC.
Office #1: 135 S. Lasalle Street Suite 3710, Chicago, IL 60603RIA
BD
CRD#: 7763
Chicago, IL
Current
March 15, 2011 - Present
CENTENNIAL SECURITIES COMPANY, INC.
Office #1: 135 S. Lasalle Street Suite 3710, Chicago, IL 60603RIA
BD
CRD#: 7763
Chicago, IL
Past
November 12, 2010 - March 15, 2011
SANCTUARY SECURITIES, INC.
RIA
CRD#: 205
CHICAGO, IL
Past
November 5, 2004 - March 15, 2011
SANCTUARY SECURITIES, INC.
BD
CRD#: 205
MIAMI, FL
Past
August 29, 1985 - December 3, 2004
HOWE BARNES HOEFER & ARNETT, INC.
BD
CRD#: 2240
CHICAGO, IL
Past
March 5, 1985 - August 15, 1985
BROOKS WEINGER ROBBINS & LEEDS INC.
BD
CRD#: 14156
Past
September 24, 1984 - March 5, 1985
JOSEPH P. MCGIVNEY AND ASSOCIATES, INC.
BD
CRD#: 2725
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.
CENTENNIAL SECURITIES CO. | CENTENNIAL SECURITIES COMPANY, LLC | CENTENNIAL SECURITIES COMPANY, INC. | CENTENNIAL SECURITIES COMPANY, INC | CENTENNIAL SECURITIES COMPANY LLC | 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)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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(3/15/2011)
IAR
Florida(2/26/2024)
RR
Illinois(3/15/2011)
IAR
Illinois(4/12/2011)
RR
Indiana(1/2/2014)
IAR
Wisconsin(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CENTENNIAL SECURITIES COMPANY, INC.
CENTENNIAL SECURITIES CO. | CENTENNIAL SECURITIES COMPANY, LLC | CENTENNIAL SECURITIES COMPANY, INC. | CENTENNIAL SECURITIES COMPANY, INC | CENTENNIAL SECURITIES COMPANY LLC | 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)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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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
40
SEC notice filing (18 States and Territories)
FINRA licenses (46 States and Territories)
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 | 2 |
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.
