Mark R. Frieler

CENTAURUS FINANCIAL

New Braunfels, TX 78132

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CRD#: 2629874

Professional summary

Mark R. Frieler, who also goes by Mark R. Frieler, Mark Robert Frieler, is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in New Braunfels, Texas.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark R. Frieler | Mark Robert Frieler

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark R. Frieler's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 16, 2024 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 311 Boulder Oak Drive, New Braunfels, TX 78132

RIA

CRD#: 30833

New Braunfels, TX

Past

June 29, 2018 - January 16, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

New Braunfels, TX

Past

November 15, 2010 - June 29, 2018

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

OCONOMOWOC, WI

Past

November 5, 2010 - June 29, 2018

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

OCONOMOWOC, WI

Past

January 2, 2009 - November 9, 2010

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

OCONOMOWOC, WI

Past

October 29, 2003 - April 27, 2006

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

OCONOMOWOC, WI

Past

August 5, 2003 - November 9, 2010

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OCONOMOWOC, WI

Past

January 4, 1999 - July 17, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

September 4, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

August 1, 1995 - September 12, 1997

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

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".

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.

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

Arizona
(1/16/2024)

Arkansas
(1/16/2024)

California
(1/16/2024)

Florida
(1/17/2024)

Illinois
(1/16/2024)

Michigan
(1/16/2024)

North Carolina
(1/18/2024)

Ohio
(1/16/2024)

Tennessee
(1/17/2024)

Texas
(1/16/2024)

Wisconsin
(1/16/2024)

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 66

Date: 5/7/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/4/1995

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: 7/31/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/4/1999

General Securities Principal Examination

SRO Registrations

FINRA

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

Mark R. Frieler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark R. Frieler's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/7/2007

Series 63

Date: 8/4/1995

SIE

Date: 10/1/2018

Series 7

Date: 7/31/1995

Series 24

Date: 2/4/1999

FINRA

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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