KC
Kent A. Cooper
CENTAURUS FINANCIAL
Redlands, CA 92373
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CRD#: 2678690
KC
Professional summary
Kent Austin Cooper is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Redlands, California.
Kent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kent has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6, Series 24 and Series 26 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.
OWNER, NON-INVESTMENT RELATED, 490 ALABAMA ST., SUITE #101, REDLANDS, CA 92373, TENANTS PAY RENT AND BUILDING IS OWNER OCCUPIED, SINCE 1/1/2014, DEVOTE TIME IS 4 HRS A MONTH, PROPERTY MANAGEMENT. ENROLLED AGENT, KENT A. COOPER, EA, 490 ALABAMA ST., #101, REDLANDS, CA 92373. NOT INVESTMENT RELATED SINCE 01/1993 AND I SPEND APPROX. 66 HOURS PER MONTH ON THIS BUSINESS. TAX PREPARATION, ACCOUNTING AND PAYROLL SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Kent Austin Cooper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kent Austin Cooper'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
July 10, 2002 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 490 Alabama Street Suite #101, Redlands, CA 92373RIA
BD
CRD#: 30833
Redlands, CA
Current
June 16, 1998 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 490 Alabama Street Suite #101, Redlands, CA 92373RIA
BD
CRD#: 30833
Redlands, CA
Past
May 20, 1996 - May 13, 1998
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
ANAHEIM, CA
Past
February 14, 1996 - April 24, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Alabama(6/20/2024)
RR
Arizona(9/16/2004)
IAR
Arizona(8/29/2019)
RR
California(6/16/1998)
IAR
California(7/10/2002)
IAR
Colorado(1/11/2022)
RR
Florida(8/18/2010)
IAR
Florida(8/30/2019)
IAR
Georgia(1/5/2021)
RR
Idaho(6/11/2013)
IAR
Idaho(6/12/2013)
RR
Michigan(3/29/2023)
IAR
Michigan(1/2/2025)
IAR
Minnesota(1/6/2021)
RR
Nebraska(8/27/2012)
IAR
Nebraska(6/18/2013)
RR
Nevada(9/28/2018)
IAR
Nevada(9/28/2018)
IAR
New Mexico(9/10/2020)
IAR
New York(11/1/2021)
RR
North Carolina(8/4/2021)
IAR
Ohio(1/30/2025)
IAR
Oregon(8/30/2022)
RR
South Carolina(7/18/2022)
IAR
South Carolina(7/21/2022)
IAR
Texas(2/16/2021)
IAR
Utah(1/5/2021)
RR
Washington(9/8/2016)
IAR
Washington(9/9/2016)
RR
Wisconsin(9/15/2004)
IAR
Wisconsin(1/3/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/3/2008
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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 | 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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Redlands, CA 92373TRUST BUT VERIFY
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