David A. Cieszynski
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.
David Anthony Cieszynski was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
November 16, 2009 - April 3, 2023
CENTAURUS FINANCIAL, INC.
November 13, 2009 - April 3, 2023
CENTAURUS FINANCIAL, INC.
August 8, 2005 - December 4, 2009
QUESTAR ASSET MANAGEMENT, INC.
August 22, 2002 - December 4, 2009
QUESTAR CAPITAL CORPORATION
April 12, 2001 - August 22, 2002
THE MASTERS, INC.
July 2, 1999 - August 22, 2002
VSR FINANCIAL SERVICES, INC.
September 29, 1998 - July 6, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
March 1, 1996 - July 17, 1998
OPPENHEIMER & CO. INC.
November 16, 1994 - August 8, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 16, 1994 - August 8, 1995
SIGNATOR INVESTORS, INC.
March 13, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 13, 1989 - September 29, 1994
PRUCO SECURITIES, 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 | 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.
