Michael S. Bagocus
Professional summary
Michael Scott Bagocus is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Georgetown, Delaware.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Michael has 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) - RIA
Click below to view Michael Scott Bagocus's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Bagocus's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 18, 2016 - Present
CENTAURUS FINANCIAL, INC.
April 18, 2016 - Present
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
(4/18/2016)
(4/18/2016)
(9/22/2020)
(9/22/2020)
(1/9/2017)
(4/18/2016)
(2/7/2018)
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.
