William Fuentes
Professional summary
William Fuentes, who also goes by Bill Fuentes, Wilfredo Fuentes, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Simi Valley, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. William has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Fuentes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Fuentes's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2021 - Present
CENTAURUS FINANCIAL, INC.
January 2, 2019 - Present
CENTAURUS FINANCIAL, INC.
January 22, 2016 - December 31, 2018
QUESTAR CAPITAL CORPORATION
March 12, 2014 - January 25, 2016
FIRST ALLIED SECURITIES, INC.
May 10, 2013 - March 14, 2014
NATIONAL PLANNING CORPORATION
January 6, 2006 - January 14, 2009
WEALTHCARE ALLIANCE, INC.
July 1, 2002 - May 31, 2013
OSAIC WEALTH, INC.
May 11, 2001 - July 25, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 17, 1998 - June 1, 2001
WAMU INVESTMENTS, INC.
April 16, 1986 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 11, 1985 - May 21, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
February 6, 1985 - May 19, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
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
(1/2/2019)
(1/25/2023)
(1/2/2019)
(11/10/2021)
(7/9/2021)
(8/31/2022)
(2/3/2023)
Exams
FINRA
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.
