Joseph M. Todd

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CRD#: 1830390

Professional summary

Joseph Michael Todd was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Joseph had worked at 6 firms, which includes CENTAURUS FINANCIAL INC., INVESTORS CAPITAL CORP., EDWARD JONES, INVEST FINANCIAL CORPORATION, IFG NETWORK SECURITIES INC., RAYMOND JAMES & ASSOCIATES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Todd

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.

1. TODD FINANCIAL SERVICES LLC. 8546 W HOMOSASSA TRAIL #1 HOMOSASSA, FL 34448. NON INVESTMENT RELATED SINCE 2007. DBA FOR BRANDING PURPOSES ONLY. 2. STEWARDSHIP CHAIRMAN. FIRST BAPTIST CHURCH OF CRYSTAL RIVER. 700 N CITRUS AVENUE, CRYSTAL RIVER, FL 34429. NON INVESTMENT RELATED SINCE 01/2016 AND I SPEND APPROX. SIX HOURS A MONTH ON THIS ACTIVITY. 3. CLUB MANAGAER, BUCK CREEK HUNT CLUB, 364 MORRIS STATION ROAD, MORRIS, GA 39867. NON INVESTMENT SINCE 06/2009 AND I SPEND APPROX. 10 HOURS A MONTH ON THIS ACTIVITY.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 30, 2016 - July 21, 2022

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

CRYSTAL RIVER, FL

Past

August 29, 2016 - July 21, 2022

CENTAURUS FINANCIAL, INC.

CRD#: 30833

CRYSTAL RIVER, FL

Past

July 31, 2008 - August 30, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

HOMOSASSA, FL

Past

January 4, 2007 - August 30, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

HOMOSASSA, FL

Past

February 8, 2001 - January 11, 2007

EDWARD JONES

CRD#: 250

HOMOSASSA, FL

Past

January 20, 2000 - February 1, 2001

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

January 27, 1995 - February 17, 2000

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

October 11, 1990 - December 31, 1994

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

August 25, 1988 - October 16, 1990

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/3/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/13/1999

General Securities Principal Examination

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

2300 E. Katella Avenue Suite 200, Anaheim, CA 92806

Mailing Address

2300 E. Katella Avenue Suite #200, Anaheim, CA 92806

Phone number

(714) 456-1790

Established

California since 08/27/1992

Firm type

Corporation

Fiscal year end

April

Firm Size

Large

# of Employees

580

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Joseph M. Todd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

EDWARD JONES

INVEST FINANCIAL CORPORATION

INVESTORS CAPITAL CORP.

IFG NETWORK SECURITIES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/3/2008

Series 63

Date: 9/13/1988

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1988

Series 24

Date: 1/13/1999

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

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