David A. Pagel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Allen Pagel was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2013 - December 9, 2013
CENTAURUS FINANCIAL, INC.
May 21, 2010 - February 8, 2012
MORGAN STANLEY
May 21, 2010 - February 8, 2012
MORGAN STANLEY
May 8, 2009 - April 20, 2010
MML INVESTORS SERVICES, LLC
May 1, 2009 - April 20, 2010
MML INVESTORS SERVICES, LLC
June 27, 2007 - April 20, 2009
PRUCO SECURITIES, LLC.
June 27, 2007 - April 20, 2009
PRUCO SECURITIES, LLC.
February 9, 2007 - June 13, 2007
NYLIFE SECURITIES LLC
April 14, 2006 - May 15, 2006
UBS FINANCIAL SERVICES INC.
March 27, 2006 - May 15, 2006
UBS FINANCIAL SERVICES INC.
April 20, 2000 - April 12, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
November 19, 1999 - April 12, 2004
IDS LIFE INSURANCE COMPANY
November 19, 1999 - April 12, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
June 29, 1994 - December 31, 1994
WOODBURY FINANCIAL SERVICES, INC.
November 18, 1993 - May 25, 1994
METROPOLITAN LIFE INSURANCE COMPANY
November 18, 1993 - May 25, 1994
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
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.
