PN
Paul L. Newton
CENTAURUS FINANCIAL
Bowie, MD
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CRD#: 2196433
PN
Professional summary
Paul Lawrence Newton, who also goes by Paul L Newton, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Bowie, Maryland.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Paul has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul L Newton
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. OWNER, PLN & ASSOCIATES, INC. BOWIE, MD 20721. NON INVESTMENT RELATED SINCE 1/1990 AND I SPEND APPROX. 40 HOURS PER MONTH ON THIS ACTIVITY. I PROVIDE TAX ADVISE TO CLIENTS INTERESTED IN MAKING INVESTMENTS OR ROLLING OVER ELIGIBLE 401(K)S.
2. AGENT, INSURANCE AGENT, NON INVESTMENT RELATED SINCE 1/2000 AND I SPEND APPROX. 4/5 HOURS PER MONTH ON THIS ACTIVITY. INSURANCE SALES.
3. PLN & ASSOCIATES, INC., NON-INVESTMENT RELATED, BOWIE, MD 20721, DBA, OWNER/PRESIDENTS, SINCE 7/1/1988.
4. PLN & ASSOCIATES, INC., NON-INVESTMENT RELATED, BOWIE, MD 20721, PREPARE AND ELECTRONICALLY FILE TAXES RETURNS, PRESIDENT/OWNER, SINCE 7/1/1990, DEVOTED TIME IS 40 HOURS A MONTH, MEET WITH CLIENTS, SUPERVISE TAX PREPARERS, REVIEW TAX RETURNS WITH CLIENTS, TRANSMIT TAX RETURNS.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Lawrence Newton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Lawrence Newton'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
February 5, 2019 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Bowie, MD
Current
February 5, 2019 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Bowie, MD
Past
August 27, 2018 - January 21, 2019
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
BOWIE, MD
Past
August 27, 2018 - January 21, 2019
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BOWIE, MD
Past
October 28, 2010 - August 17, 2018
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
BOWIE, MD
Past
October 21, 2010 - August 17, 2018
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
BOWIE, MD
Past
April 20, 2010 - October 7, 2010
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
WASHINGTON, DC
Past
September 25, 2006 - March 31, 2010
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
BOWIE, MD
Past
June 13, 2001 - September 26, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
BOWIE, MD
Past
January 2, 1996 - July 10, 2001
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
September 24, 1992 - December 29, 1995
MASON SECURITIES, INC.
BD
CRD#: 12967
RESTON, VA
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
District of Columbia(2/5/2019)
IAR
District of Columbia(4/5/2019)
RR
Florida(12/7/2022)
RR
Maryland(2/5/2019)
IAR
Maryland(2/5/2019)
Exams
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.
