Thomas Benjamin Paine

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Contact Information

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Disclosures on record.

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.

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Years of Experience

34 years registered in the securities industry

Current & Past Employments

Current

CENTAURUS FINANCIAL, INC.Current·CRD# 30833

RIA

BD

1. 1186 E. Grand Avenue, Arroyo Grande, CA 934202. 6627-a Bay Laurel Place, Avila Beach, CA 93424

July 26, 2011 - Present

CENTAURUS FINANCIAL, INC.Current·CRD# 30833

RIA

BD

1. 1186 E. Grand Avenue, Arroyo Grande, CA 934202. 6627-a Bay Laurel Place, Avila Beach, CA 93424

May 5, 2006 - Present

Past

CAREY JAMES & ASSOCIATESPast·CRD# 125210

RIA

Arroyo Grande, CA

September 21, 2006 - December 31, 2014

G - W BROKERAGE GROUP, INC.Past·CRD# 22691

BD

Beverly, NJ

October 31, 1996 - May 16, 2006

MONTEREY BAY SECURITIES, INC.Past·CRD# 16274

BD

Aptos, CA

April 7, 1994 - October 29, 1996

NATIONAL PLANNING CORPORATIONPast·CRD# 29604

BD

Los Angeles, CA

December 9, 1992 - March 30, 1994

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Current Firm

CF

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)

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

571

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/28/2026)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/28/2026)

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	CHIEF COMPLIANCE OFFICER	2123754
DUHOVIC, JEROME VICTOR	DIRECTOR/EVP	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	SVP/CFO/FINANCIAL AND OPERATIONS PRINCIPAL	—

Regulatory Assets Under Management

Total Number of Accounts

45,336

AUM (Assets Under Management)

$9,740,127,253

Disclosures

Regulatory Event

19

Arbitration

8

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. SOLE PROPRIETOR, PAINE FINANCIAL SERVICES, 1186 E. GRAND AVE., ARROYO GRANDE, CA 93420. NON INVESTMENT RELATED SINCE 2/2010. THIS IS MY DBA FOR BRANDING PURPOSES ONLY. OWNER, LTC INSURANCE MARKETING, P.O. BOX 3738, PISMO BEACH, CA 93448. INVESTMENT RELATED SINCE 5/1986 AND I SPEND APPROX. 10 HOURS PER MONTH ON THIS ACTIVITY. SELLING LTC, MEDICARE SUPPLEMENT AND FIXED ANNUITIES. 2. AVILA VALLEY MUTUAL WATER COMPANY POSITION: Chair of Investment Committee NATURE: Board for private water district - nominated to be investment chair INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 11549 Los Osos Valley Rd., Ste 202, San Luis Obispo CA 93405, United States DESCRIPTION: Discuss various water related issues coming before the board. Additionally, discuss current investments with others on the investment committee.

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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.

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alaska
(9/14/2022)

IAR

Alaska
(9/16/2022)

RR

Arizona
(8/28/2024)

RR

California
(5/5/2006)

IAR

California
(7/26/2011)

IAR

Connecticut
(1/3/2024)

RR

New Mexico
(7/17/2012)

RR

South Carolina
(1/2/2026)

IAR

South Carolina
(1/6/2026)

IAR

Texas
(7/21/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.