DH
Dennis J. Hein
CENTAURUS FINANCIAL
Longmont, CO 80501
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CRD#: 2014985
DH
Professional summary
Dennis Jacob Hein is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Longmont, Colorado.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Dennis has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Hein Financial Services, Inc., non-investment related, 1155 South Main Street, Suite 1C, Longmont, CO 80501, DBA for marketing purposes only, President since 4/1/1983, 2. Hein Financial Services, Inc., non-investment related, 1155 South Main Street, Suite 1C, Longmont, CO 80501, sale life and health insurance, insurance agent/President, since 4/1/1983, devoted time is 70 hours a month. 3. Dennis Hein, non-investment related, 1865 Terry Street, Unit 1, Longmont, CO 80501, rental property, owner of condo since 2000, devoted time is 1 hours a month, occasional repair and maintenance. 4. Dennis Hein, non-investment related, 857 South Ave., Gordun Ct., F-104, Lakewood, CO 80228, owner of rental property since 2018, devoted time is 1 hour a month, occasional repair and maintenance. 5. Notary Public, non-investment related, Longmont, CO 80503, notary, devoted time is 1 hour a month.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Jacob Hein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Jacob Hein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 9, 2024 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1155 South Main Street Suite 1c, Longmont, CO 80501RIA
BD
CRD#: 30833
Longmont, CO
Current
May 17, 2024 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1155 South Main Street Suite 1c, Longmont, CO 80501RIA
BD
CRD#: 30833
Longmont, CO
Past
June 29, 2023 - April 29, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Longmont, CO
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Longmont, CO
Past
September 3, 2013 - April 29, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Longmont, CO
Past
April 3, 2006 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
LONGMONT, CO
Past
February 6, 1992 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
LONGMONT, CO
Past
March 21, 1990 - February 6, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 21, 1990 - February 6, 1992
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/17/2024)
IAR
Colorado(5/9/2024)
RR
Colorado(5/17/2024)
RR
Florida(5/17/2024)
RR
Georgia(5/17/2024)
RR
Hawaii(5/17/2024)
RR
Kansas(5/17/2024)
RR
Massachusetts(5/17/2024)
RR
Missouri(5/17/2024)
RR
Nebraska(5/17/2024)
RR
Nevada(5/17/2024)
RR
North Carolina(5/17/2024)
RR
Oklahoma(5/17/2024)
RR
Oregon(5/17/2024)
RR
South Dakota(5/17/2024)
IAR
Texas(5/9/2024)
RR
Texas(5/17/2024)
RR
Virginia(5/17/2024)
RR
West Virginia(5/17/2024)
RR
Wyoming(5/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
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)
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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Longmont, CO 80501TRUST BUT VERIFY
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