WK
Westley H. King
CENTAURUS FINANCIAL
Anaheim, CA 92802
Some features on this profile are disabled
CRD#: 2527676
WK
Professional summary
Westley Hayes King, who also goes by Westley H King, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Anaheim, California.
Westley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Westley has worked at 4 firms and has passed the Series 66, Series 63, Series 6TO, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Westley H King
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.
BROKERAGE DESIGN AND DEVELOPMENT, INC., EXECUTIVE V.P., SINCE 1/1/2001, CREATING TRAINING CURRICULA AND ORGANIZING WORKSHOPS AND OTHER TRAINING MEDIA, DEVOTED TIME IS 10 HRS A MONTH, NON-INVESTMENT RELATED.
PACIFIC POINT, MINORITY OWNER, SINCE 3/1/2010, 2300 E. KATELLA AVE., SUITE 275, ANAHEIM, CA 92806, WHOLESALES DISTRIBUTION OF DIRECT PARTICIPATION PROGRAMS, INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Westley Hayes King's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Westley Hayes King'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 31, 1997 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92802Office #2: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806RIA
BD
CRD#: 30833
Anaheim, CA
Current
November 17, 1994 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92802Office #2: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806RIA
BD
CRD#: 30833
Anaheim, CA
Past
May 31, 1996 - April 15, 2005
BROKERAGE DESIGN & DEVELOPMENT, INC.
BD
CRD#: 18204
ORANGE, CA
Past
September 22, 1994 - November 17, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
September 22, 1994 - November 17, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Alabama(1/5/1996)
RR
Alaska(8/18/1997)
RR
Arizona(9/26/1996)
IAR
Arizona(2/25/2021)
RR
Arkansas(2/11/1997)
RR
California(11/17/1994)
IAR
California(12/31/1997)
RR
Colorado(1/5/1996)
IAR
Colorado(2/22/2021)
RR
Connecticut(6/4/1996)
RR
Delaware(8/18/1997)
RR
District of Columbia(1/17/1996)
RR
Florida(1/9/1996)
IAR
Florida(2/19/2021)
RR
Georgia(8/18/1997)
IAR
Georgia(2/19/2021)
RR
Hawaii(9/2/1999)
RR
Idaho(8/18/1997)
RR
Illinois(1/5/1996)
RR
Indiana(1/5/1996)
RR
Iowa(1/10/1996)
RR
Kansas(8/18/1997)
RR
Kentucky(1/9/1996)
RR
Louisiana(9/4/1996)
IAR
Louisiana(2/19/2021)
RR
Maine(2/19/1997)
RR
Maryland(1/5/1996)
RR
Massachusetts(1/5/1996)
IAR
Massachusetts(4/13/2021)
RR
Michigan(1/8/1996)
IAR
Michigan(2/22/2021)
RR
Minnesota(8/19/1997)
IAR
Minnesota(2/24/2021)
RR
Mississippi(8/19/1997)
IAR
Mississippi(2/19/2021)
RR
Missouri(3/21/1996)
RR
Montana(1/8/1996)
RR
Nebraska(8/18/1997)
RR
Nevada(8/26/1996)
IAR
Nevada(3/2/2021)
RR
New Hampshire(8/14/1996)
RR
New Jersey(1/17/1996)
IAR
New Jersey(2/18/2021)
RR
New Mexico(11/26/1996)
RR
New York(8/18/1997)
IAR
New York(2/20/2021)
RR
North Carolina(1/17/1996)
RR
North Dakota(1/9/1996)
RR
Ohio(9/4/1996)
RR
Oklahoma(1/12/1996)
RR
Oregon(1/11/1996)
IAR
Oregon(2/22/2021)
RR
Pennsylvania(9/3/1996)
IAR
Pennsylvania(2/19/2021)
RR
Puerto Rico(9/13/2017)
RR
Rhode Island(8/19/1997)
RR
South Carolina(9/13/1996)
RR
South Dakota(1/9/1996)
RR
Tennessee(9/4/1996)
RR
Texas(1/11/1996)
IAR
Texas(2/19/2021)
RR
Utah(1/11/1996)
IAR
Utah(2/22/2021)
RR
Vermont(8/20/1997)
RR
Virgin Islands(12/12/2014)
RR
Virginia(8/19/1997)
IAR
Virginia(2/24/2021)
RR
Washington(1/11/1996)
RR
West Virginia(1/12/1996)
RR
Wisconsin(1/12/1996)
RR
Wyoming(1/12/1996)
IAR
Wyoming(2/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
