Dana E. Kellogg

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CRD#: 2496097

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.

Dana Evan Kellogg was a registered financial professional .

Dana is a previously registered financial professional and started their career in finance in 1994. Dana had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2, Series 6, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

DANA KELLOGG, AGENT, SINCE 1/1/1994, FRESNO, CA 93720, I SELL INSURANCE PRODUCTS AS NEEDED BY MY CLIENTS INCLUDING TERM LIFE INSURANCE, FIXED INSURANCE, DISABILITY, LONG-TERM CARE AND FIXED ANNUITIES, DEVOTED TIME IS 5 HRS A MONTH, NON-INVESTMENT RELATED. SOLE PROPRIETOR, DANA KELLOGG, DUBLIN, CA 94568. WRITER OF FICTIONAL BOOKS, POETRY, SHORT STORIES. NON INVESTMENT RELATED SINCE 11/2013 AND I SPEND APPROX. 10 HOURS PER MONTH ON THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 17, 2009 - May 3, 2023

CENTAURUS FINANCIAL, INC.

CRD#: 30833

FRESNO, CA

Past

September 15, 2009 - May 3, 2023

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

FRESNO, CA

Past

December 26, 2008 - September 18, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

PLEASANTON, CA

Past

December 26, 2008 - September 18, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

PLEASANTON, CA

Past

February 18, 2004 - December 31, 2008

EPLANNING ADVISORS INC

RIA

CRD#: 109184

PLEASANTON, CA

Past

February 18, 2004 - December 31, 2008

EPLANNING SECURITIES, INC.

CRD#: 46000

PLEASANTON, CA

Past

October 20, 1995 - March 8, 2004

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 6, 1994 - October 18, 1995

WMA SECURITIES, INC.

CRD#: 32625

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 9/6/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/5/1994

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: 8/21/1996

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 5/1/1995

Non-Member General Securities Examination

General Industry/Product Exam

Series 6

Date: 7/5/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/19/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/10/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/28/1994

Investment Company Products/Variable Contracts Principal Examination

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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Dana E. Kellogg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

EPLANNING ADVISORS INC

EPLANNING SECURITIES, INC.

OSAIC WEALTH, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2006

Series 63

Date: 7/5/1994

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1996

Series 2

Date: 5/1/1995

Series 6

Date: 7/5/1994

Series 51

Date: 9/19/2003

Series 24

Date: 10/10/1997

Series 26

Date: 7/28/1994

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

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