PC
Patrick M. Carroll
CENTAURUS FINANCIAL
Cadillac, MI 49601
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CRD#: 2676119
PC
Professional summary
Patrick Michael Carroll is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Cadillac, Michigan.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Patrick has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. CARROLL RETIREMENT PLANS & INVESTMENTS, NON-INVESTMENT RELATED, 7877 MACKINAW TRAIL, CADILLAC, MI 49601, DBA FOR BRANDING AND MARKETING AND REVENUE RECOGNITION, MEMBER, SINCE 7/10/2015. 2. MUNSON HEALTH CARE CADILLAC COMMUNITY HEALTHCARE COUNCIL POSITION: Board Member NATURE: Hospital Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/02/2022 ADDRESS: 400 Hobart Street, Cadillac MI 49601, United States DESCRIPTION: Board Member of the Munson Health Care Community Healthcare Council. Attend 3-4 meetings annually to discuss the status of our local hospital. 3. MUNSON HEALTHCARE FOUNDATION CADILLAC HOSPITAL BOARD POSITION: Board Member NATURE: Fund Raising INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2014 ADDRESS: 400 Hobart St, Cadillac MI 49601, United States DESCRIPTION: Board Member to raise funds for local hospital. 4. CLAM LAKE TOWNSHIP DDA POSITION: Board member NATURE: Helping to make decisions on how area can grow business. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/06/2014 ADDRESS: 8809 E. M-115, Cadillac MI 49601, United States DESCRIPTION: Help to make decisions on how our local area can attract new business and grow.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Michael Carroll's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Michael Carroll'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, 2010 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 7877 Mackinaw Trail, Cadillac, MI 49601RIA
BD
CRD#: 30833
Cadillac, MI
Current
September 20, 2006 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 7877 Mackinaw Trail, Cadillac, MI 49601RIA
BD
CRD#: 30833
Cadillac, MI
Past
August 6, 1998 - September 19, 2006
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
CADILLAC, MI
Past
January 11, 1996 - December 31, 1997
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
January 11, 1996 - December 20, 2000
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
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(11/3/2016)
IAR
Arizona(11/26/2019)
RR
California(10/6/2016)
IAR
Colorado(1/6/2011)
IAR
Florida(11/10/2010)
RR
Florida(5/4/2017)
RR
Georgia(2/3/2022)
IAR
Georgia(2/3/2022)
IAR
Illinois(1/5/2011)
RR
Illinois(6/25/2018)
IAR
Indiana(7/18/2012)
RR
Indiana(7/9/2015)
RR
Michigan(9/20/2006)
IAR
Michigan(6/24/2010)
RR
Nevada(6/27/2018)
IAR
Nevada(6/27/2018)
RR
New York(1/20/2022)
IAR
New York(1/20/2022)
RR
North Carolina(12/9/2021)
IAR
North Carolina(1/7/2022)
IAR
Ohio(11/15/2016)
RR
Ohio(8/9/2019)
IAR
South Carolina(5/16/2018)
RR
South Carolina(2/23/2022)
IAR
Utah(1/11/2011)
RR
Utah(9/9/2019)
IAR
Wisconsin(5/18/2018)
RR
Wisconsin(7/24/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
