David J. Richmond

CENTAURUS FINANCIAL

San Dimas, CA 91773

Some features on this profile are disabled

CRD#: 2341682

Professional summary

David James Richmond, who also goes by David Richmond, is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in San Dimas, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Richmond

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David James Richmond's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 17, 2024 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 120 W. Bonita Suite #202, San Dimas, CA 91773

RIA

CRD#: 30833

San Dimas, CA

Past

April 2, 2014 - December 31, 2018

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

San Dimas, CA

Past

April 2, 2014 - April 22, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

San Dimas, CA

Past

May 24, 2001 - April 8, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIMAS, CA

Past

April 30, 2001 - April 8, 2014

LPL FINANCIAL LLC

CRD#: 6413

SAN DIMAS, CA

Past

January 1, 1999 - May 29, 2001

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

January 17, 1997 - January 1, 1999

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

August 13, 1993 - January 1, 1997

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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.

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

Arizona
(11/12/2025)

California
(4/17/2024)

Nevada
(3/18/2025)

New Jersey
(4/17/2024)

Utah
(4/17/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 7/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/28/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/4/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

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.

Similar Advisors

Ryan Perry

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Gabriel Shahin

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Quinn Carranza

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David J. Richmond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David James Richmond's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WAMU INVESTMENTS, INC.

GRIFFIN FINANCIAL SERVICES

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1997

Series 6

Date: 7/28/1993

Series 24

Date: 9/4/2001

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

TRUST BUT VERIFY

Similar Advisors