DK
Dwayne H. Kappell
CENTAURUS FINANCIAL
Evansville, IN 47708
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CRD#: 2159603
DK
Professional summary
Dwayne Howard Kappell is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Evansville, Indiana.
Dwayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Dwayne has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
KAPPELL INSURANCE SERVICES, NON-INVESTMENT RELATED, 123 N.W. 4TH STREET, SUITE #301, EVANSVILLE, IN 47708, PRESIDENT, SINCE 11/1986, DEVOTED TIME IS 40 HRS A MONTH, SALES AND SERVICE OF LIFE INSURANCE, GROUP HEALTH, ANNUITIES, DENTAL, GROUP LIFE, LTD, AND STD.
CRS (Client Relationship Summary) - RIA
Click below to view Dwayne Howard Kappell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dwayne Howard Kappell'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
January 4, 2016 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 123 Nw 4th Street Suite #301, Evansville, IN 47708RIA
BD
CRD#: 30833
Evansville, IN
Current
August 20, 2014 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 123 Nw 4th Street Suite #301, Evansville, IN 47708RIA
BD
CRD#: 30833
Evansville, IN
Past
January 5, 2010 - August 18, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
EVANSVILLE, IN
Past
December 13, 2007 - July 6, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
EVANSVILLE, IN
Past
January 3, 2006 - December 14, 2007
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
EVANSVILLE, IN
Past
April 1, 2004 - January 13, 2006
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
March 10, 2003 - April 7, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
October 25, 1995 - April 1, 2003
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 20, 1991 - September 29, 1995
MONY SECURITIES CORPORATION
BD
CRD#: 4386
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
Florida(2/16/2015)
IAR
Florida(1/5/2016)
RR
Georgia(9/24/2024)
IAR
Illinois(8/19/2022)
RR
Illinois(9/6/2022)
RR
Indiana(8/26/2014)
IAR
Indiana(1/5/2016)
RR
Kentucky(8/20/2014)
IAR
Kentucky(1/5/2016)
RR
North Carolina(7/9/2019)
IAR
North Carolina(7/26/2021)
Exams
State Security Law Exam
State Security Law 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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Evansville, IN 47708TRUST BUT VERIFY
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