Michael S. Bagocus
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.
Michael Scott Bagocus was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 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
April 18, 2016 - December 31, 2025
CENTAURUS FINANCIAL, INC.
April 18, 2016 - December 31, 2025
CENTAURUS FINANCIAL, INC.
January 29, 2003 - December 31, 2004
NATIONAL PLANNING CORPORATION
January 27, 2003 - April 4, 2016
NATIONAL PLANNING CORPORATION
January 26, 1999 - January 10, 2003
SECURITIES AMERICA ADVISORS, INC.
December 17, 1998 - January 3, 2003
SECURITIES AMERICA, INC.
September 10, 1997 - January 4, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 1994 - September 16, 1997
BA INVESTMENT SERVICES, INC.
August 10, 1993 - September 1, 1994
HAMILTON INVESTMENTS, INC.
March 15, 1991 - April 3, 1995
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 1, 1991 - March 21, 1991
CALIFORNIA ONE INVESTMENTS
June 12, 1990 - September 16, 1994
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
March 6, 1989 - March 4, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 19, 1988 - March 15, 1989
MORGAN STANLEY DW INC.
February 10, 1988 - August 20, 1988
F.D. ROBERTS SECURITIES, INC.
April 23, 1986 - November 3, 1987
PRUDENTIAL EQUITY GROUP, 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 | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE 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.
