Richard E. Tarango
Professional summary
Richard Edward Tarango, who also goes by Rich Tarango, Rick Tarango, is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in Fresno, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1988. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Tarango's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2001 - Present
CENTAURUS FINANCIAL, INC.
March 17, 1997 - November 24, 2000
EDWARD JONES
March 17, 1994 - March 10, 1997
GRIFFIN FINANCIAL SERVICES
December 11, 1992 - May 9, 1994
PRINCIPAL SECURITIES, INC.
June 13, 1988 - November 10, 1992
NEW ENGLAND SECURITIES
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
(1/5/2001)
(7/22/2019)
(1/2/2025)
(11/15/2007)
(5/6/2019)
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
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