DA
David W. Andersen
CENTAURUS FINANCIAL
ANAHEIM, CA 92806
Some features on this profile are disabled
CRD#: 2474495
DA
Professional summary
David William Andersen, who also goes by David William Anderson, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Anaheim, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David William Anderson
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.
CRS (Client Relationship Summary) - RIA
Click below to view David William Andersen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David William Andersen'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
January 9, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2300 E. Katella Ave. Suite 200, Anaheim, CA 92806Office #2: 162 E. Hayden Ave., Hayden, ID 83835Office #3: 3567 E. Sunrise Drive Suite #101, Tucson, AZ 85718RIA
BD
CRD#: 30833
ANAHEIM, CA
Current
June 10, 2015 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2300 E. Katella Ave. Suite 200, Anaheim, CA 92806Office #2: 162 E. Hayden Ave., Hayden, ID 83835Office #3: 3567 E. Sunrise Drive Suite #101, Tucson, AZ 85718RIA
BD
CRD#: 30833
ANAHEIM, CA
Past
June 25, 2012 - June 9, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LAKE ELSINORE, CA
Past
November 12, 2007 - July 13, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
IRVINE, CA
Past
January 21, 2000 - October 24, 2007
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
March 16, 1998 - October 11, 1999
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
May 31, 1994 - March 2, 1998
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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
Arizona(8/18/2021)
IAR
Arizona(9/7/2021)
RR
California(6/10/2015)
IAR
California(1/9/2018)
RR
Idaho(8/18/2021)
IAR
Idaho(8/19/2021)
RR
Texas(6/28/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
