SF
Scott J. Finnegan
CENTAURUS FINANCIAL
Boise, ID 83713
Some features on this profile are disabled
CRD#: 2663704
SF
Professional summary
Scott J Finnegan, who also goes by Scott James Finnegan, Scott Finnegan, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Boise, Idaho.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Scott has worked at 13 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott James Finnegan | Scott Finnegan
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. ALPHA III WEALTH MANAGEMENT POSITION: Financial Representative NATURE: DBA for branding and marketing purposes. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: 320 E. Neider Avenue, Suite #103, Coeur D'Alene ID 83815, United States DESCRIPTION: DBA for branding and marketing purposes 2. Van Down by the River LLC, investment related, 68 Northfork Drive, Ahsahka, ID 83520, property management, mobile home park with 16 lots, partner, since 1/31/2022, devoted time is 3 hours a month, monthly meetings to discuss how we can improve the property, we have property managers on site and this is a passive investment. 3. FINNEGAN FINANCIAL LLC POSITION: Owner NATURE: Business entity to handle finances INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/15/2024 ADDRESS: 1883 N. Wildwood St, Suite F, Boise ID 83713, United States DESCRIPTION: Business entity to handle finances
CRS (Client Relationship Summary) - RIA
Click below to view Scott J Finnegan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott J Finnegan'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
June 24, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1883 N. Wildwood Street Suite F, Boise, ID 83713RIA
BD
CRD#: 30833
Boise, ID
Current
November 2, 2021 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1883 N. Wildwood Street Suite F, Boise, ID 83713RIA
BD
CRD#: 30833
Boise, ID
Past
August 11, 2020 - October 29, 2021
TRITON PACIFIC SECURITIES, LLC
BD
CRD#: 139919
EL SEGUNDO, CA
Past
February 18, 2020 - May 14, 2020
SELECT CAPITAL CORPORATION
BD
CRD#: 145997
SAN JUAN CAPISTRANO, CA
Past
November 19, 2018 - March 10, 2020
SHOPOFF SECURITIES, INC.
BD
CRD#: 142866
IRVINE, CA
Past
April 25, 2012 - October 18, 2018
STIRA CAPITAL MARKETS GROUP, LLC
BD
CRD#: 141277
IRVINE, CA
Past
May 6, 2009 - May 2, 2011
PACIFIC CORNERSTONE CAPITAL INCORPORATED
BD
CRD#: 40397
SANTA ANA, CA
Past
January 31, 2008 - May 1, 2009
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
March 22, 2007 - February 7, 2008
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
August 28, 2006 - May 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOS ANGELES, CA
Past
August 28, 2006 - May 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LOS ANGELES, CA
Past
March 12, 2001 - August 1, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
October 28, 1998 - October 10, 2000
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
September 13, 1996 - October 16, 1998
MANULIFE WOOD LOGAN, INC.
BD
CRD#: 19177
STAMFORD, CT
Past
November 16, 1995 - August 30, 1996
WOOD LOGAN DISTRIBUTORS, INC.
BD
CRD#: 28199
OLD GREENWICH, CT
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
IAR
Arizona(7/8/2022)
RR
Arizona(8/23/2022)
RR
California(11/2/2021)
IAR
California(6/24/2022)
IAR
Colorado(6/24/2022)
RR
Colorado(8/23/2022)
RR
Florida(8/23/2022)
IAR
Florida(8/24/2022)
RR
Idaho(11/2/2021)
IAR
Idaho(6/24/2022)
RR
Iowa(8/23/2022)
IAR
Iowa(8/23/2022)
RR
Ohio(8/26/2022)
IAR
Ohio(8/29/2022)
RR
Oregon(1/3/2022)
RR
Texas(1/5/2023)
IAR
Texas(4/24/2025)
RR
Washington(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
