RL
Richard D. Laspaluto
CENTAURUS FINANCIAL
Las Vegas, NV 89129
Some features on this profile are disabled
CRD#: 2541603
RL
Professional summary
Richard Dennis Laspaluto, who also goes by Rick Laspaluto, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Las Vegas, Nevada.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Laspaluto
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 Richard Dennis Laspaluto's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Dennis Laspaluto'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
September 14, 2005 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3320 N. Buffalo Drive Unit #205, Las Vegas, NV 89129RIA
BD
CRD#: 30833
Las Vegas, NV
Current
August 29, 2005 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3320 N. Buffalo Drive Unit #205, Las Vegas, NV 89129RIA
BD
CRD#: 30833
Las Vegas, NV
Past
November 1, 2001 - August 29, 2005
INTEGRATED TRADING AND INVESTMENTS, INC.
BD
CRD#: 47730
HUNTINGTON BEACH, CA
Past
December 7, 1999 - November 14, 2001
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
March 3, 1999 - December 9, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 3, 1996 - March 3, 1999
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
October 21, 1994 - November 28, 1995
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(7/22/2021)
RR
California(8/29/2005)
IAR
California(7/21/2016)
RR
Colorado(11/17/2020)
RR
Florida(12/22/2021)
RR
Idaho(5/12/2015)
RR
Illinois(8/25/2015)
IAR
Illinois(8/25/2015)
RR
Maine(2/20/2024)
RR
Nevada(8/29/2005)
IAR
Nevada(9/14/2005)
RR
New Mexico(10/26/2021)
RR
Pennsylvania(10/12/2021)
RR
Texas(10/5/2013)
RR
Utah(3/27/2015)
RR
Virginia(7/12/2018)
Exams
State Security Law Exam
State Security Law 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 | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE 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.
