WS
Wilson B. Springs
CENTAURUS FINANCIAL
Myrtle Beach, SC 29577
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CRD#: 2122857
WS
Professional summary
Wilson Baker Springs II, who also goes by Wilson B Springs II, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Myrtle Beach, South Carolina.
Wilson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Wilson has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wilson B Springs Ii
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.
RMC CAPITAL MANAGEMENT, INVESTMENT RELATED, 2511 NORTH OAK STREET, MYRTLE BEACH, SC 29577, DBA, SINCE 6/1/2013. OWNER/SALES, H.B. SPRINGS CO, INC., 2511 N. OAK ST., MYRTLE BEACH, SC 29577. SALES OF LIFE, HEALTH & DISABILITY INSURANCE. NON INVESTMENT RELATED SINCE 1989. I SPEND APPROX. 40 HOURS PER MONTH ON THIS ACTIVITY.
CRS (Client Relationship Summary) - RIA
Click below to view Wilson Baker Springs II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wilson Baker Springs II'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 8, 2013 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2511 N. Oak Street, Myrtle Beach, SC 29577RIA
BD
CRD#: 30833
Myrtle Beach, SC
Current
March 18, 2013 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2511 N. Oak Street, Myrtle Beach, SC 29577RIA
BD
CRD#: 30833
Myrtle Beach, SC
Past
October 9, 2001 - July 15, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
April 2, 1998 - October 1, 2001
DELTA ASSET MANAGEMENT COMPANY, LLC
BD
CRD#: 39923
MINEOLA, NY
Past
February 26, 1991 - March 13, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 26, 1991 - March 13, 1998
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
North Carolina(3/1/2018)
RR
South Carolina(4/25/2013)
IAR
South Carolina(5/8/2013)
IAR
Utah(1/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
