Kevin P. Takacs
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.
Kevin Philip Takacs was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1993. Kevin had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2013 - July 28, 2015
CENTAURUS FINANCIAL, INC.
January 4, 2013 - July 28, 2015
CENTAURUS FINANCIAL, INC.
August 1, 2011 - August 9, 2012
INVEST FINANCIAL CORPORATION
July 26, 2011 - August 9, 2012
INVEST FINANCIAL CORPORATION
February 16, 2010 - April 29, 2011
AVANTAX INVESTMENT SERVICES, INC.
April 23, 2007 - November 25, 2009
CULLUM & BURKS SECURITIES, INC.
April 23, 2007 - November 25, 2009
CULLUM & BURKS SECURITIES, INC.
December 7, 2004 - November 15, 2006
DOMINION PORTFOLIO MANAGEMENT, INC.
June 5, 2000 - October 30, 2006
DOMINION INVESTOR SERVICES, INC.
February 9, 2000 - June 1, 2004
HARBORSTONE INVESTMENT SERVICES
February 26, 1999 - June 6, 2000
PACIFIC WEST SECURITIES, INC.
November 15, 1995 - March 12, 1999
PRUCO SECURITIES, LLC.
October 8, 1993 - February 9, 1995
FORESTERS 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.
