CR
Carlos A. Rasmussen
CENTAURUS FINANCIAL
Seatac, WA 98188
Some features on this profile are disabled
CRD#: 2505970
CR
Professional summary
Carlos Arthur Rasmussen, who also goes by Carlos A Rasmussen, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Seatac, Washington.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Carlos has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos A Rasmussen
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.
1. CGM RISK MANAGEMENT AND INSURANCE SERVICES LLC, NON-INVESTMENT RELATED, 2300 E. KATELLA, SUITE #200, ANAHEIM, CA 92806, SELLING PERSONAL AND COMMERCIAL LINES OF PROPERTY CASUALTY INSURANCE, AGENT, SINCE 8/1/2018. 2. RASMUSSEN CAPITAL MANAGEMENT INC. 4800 S. 188TH STREET, 2ND FLOOR, SUITE #260, SEATAC, WA 98188. INSURANCE SALES, LIFE, FIXED ANNUITIES, LTC, PAYROLL TAX PREPARATION AND INDIVIDUAL TAX RETURN PREP, FINANCIAL MODELING & PROJECTIONS; BUSINESS CONSULTING. PRESIDENT AND CHAIRMAN OF BOARD. OPERATIONS/MANAGEMENT/BOARD MEETINGS. 04/2004, 250 HOURS MONTHLY. COMPANY IS NOT INVOLVED WITH SECURITIES BUT MUTUAL CONTACTS LEAD TO SECURITIES CUSTOMERS, NON-INVESTMENT RELATED. 3. SOUND CHRISTIAN COUNSELING, INC. POSITION: Corporate Secretary NATURE: Clinical counseling and life coaching. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2004 ADDRESS: 4800 S 188th Street, Suite 260, SeaTac WA 98188, United States DESCRIPTION: Non-compensated officer; prepare financial statements, books and records, corporate payroll, income tax returns and sign official documents as needed. 4. RASMUSSEN CAPITAL MANAGEMENT, INC POSITION: President/CEO NATURE: Provide business owners with a comprehensive set of services to help them value their business and maximize the value of their businessto help them achieve their exit/transition goals. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 4800 S 188th Street, Suite 260, SeaTac WA 98188, United States DESCRIPTION: Provide business owners and their business with valuation and business exit planning services and advice. 5. RASMUSSEN CAPITAL MANAGEMENT INC POSITION: President & CEO NATURE: Provide Executive coaching and Human Resource Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 4800 S 188th Street, Suite 260, SeaTac WA 98188, United States DESCRIPTION: Provide access thru collaboration with outside experts, Executive Coaching and Human Resource Services.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Arthur Rasmussen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Arthur Rasmussen'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
December 8, 2011 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4800 S. 188th Street 2nd Floor, Suite #260, Seatac, WA 98188RIA
BD
CRD#: 30833
Seatac, WA
Current
December 8, 2011 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4800 S. 188th Street 2nd Floor, Suite #260, Seatac, WA 98188RIA
BD
CRD#: 30833
Seatac, WA
Past
October 13, 2009 - December 9, 2011
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
SEA TAC, WA
Past
October 13, 2009 - December 9, 2011
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
SEA TAC, WA
Past
October 30, 2003 - November 5, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
SEATAC, WA
Past
October 15, 2003 - November 5, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
SEATAC, WA
Past
June 26, 2001 - October 28, 2002
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
June 26, 1998 - July 9, 1999
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
July 6, 1994 - July 2, 1996
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
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
California(1/26/2012)
IAR
California(8/6/2020)
IAR
Iowa(3/27/2023)
RR
Maryland(1/4/2023)
IAR
Maryland(1/4/2023)
RR
Montana(8/20/2019)
IAR
Montana(8/21/2019)
IAR
Nevada(3/28/2024)
RR
Utah(1/8/2024)
RR
Washington(12/8/2011)
IAR
Washington(12/8/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
