AS
Aaron W. Smith
CENTAURUS FINANCIAL
Glen Allen, VA 23060
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CRD#: 2747405
AS
Professional summary
Aaron Wayne Smith, AIF® is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Glen Allen, Virginia.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Aaron has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.
(1) MY FIDUCIARY ADVISORS LLC, INVESTMENT RELATED, 3954 SPRINGFIELD ROAD LANE, GLEN ALLEN, VA 23060, FINANCIAL PLANNING, INVESTING AND LIFE INSURANCE, DBA FOR MARKETING AND BRANDING TO MILLENNIALS, FOUNDER, SINCE 6/7/2019. (2) THE AARON SMITH SHOW - YOUR CHOICE YOUR MONEY, NON-INVESTMENT RELATED, 3954 SPRINGFIELD ROAD, GLEN ALLEN, VA 23060, OWNER, SINCE 2/19/2009, DEVOTED TIME IS 17 HOURS A MONTH, NON-INTERACTIVE DISCUSSION ABOUT MONEY MATTERS, DEBTS, RAISING KIDS, PROFESSIONAL ATHLETICS COLLEGE STUDENTS, BUSINESS OWNERS, RELATING WITH UNDERSTANDING HOW MONEY AND VALUE AFFECT EVERY DAY SCENARIO AND LIFESTYLES. (3) AARON SMITH, NON-INVESTMENT RELATED, 3954 SPRINGFIELD ROAD, GLEN ALLEN, VA 23060, AUTHOR, SINCE 1/31/2009, DEVOTED TIME IS 2 HOURS A MONTH, BOOKS: IN THE BLACK LIVE FAITHFULLY, PROSPER FINANCIALLY, THE ULTIMATE 9 STEPS TO FINANCIAL FREEDOM, ON THE LINE, GUIDE FOR SMALL BUSINESS OWNERS. (4) TITHING FROM HEAVEN, NON-INVESTMENT RELATED, 3954 SPRINGFIELD ROAD, GLEN ALLEN, VA 23060, EDUCATION, FACILIATATOR, SINCE 6/1/2018, DEVOTED TIME IS 10 HOURS A MONTH, MODERATE AND FACILITATE MEETINGS WITH MEMBERS OF THE CHURCH, DIRECT AS NEEDED MEMBERS TO ATTORNEYS TO ADOPT TRUST ACCOUNTS, REVIEW BENEFICIARY OF INDIVIDUALS IF INTERESTED IN LEAVING INHERITANCE TO CHRUCH. (5) LIFE INSURANCE, NON-INVESTMENT RELATED, 3954 SPRINGFIELD ROAD, GLEN ALLEN, VA 23060,SALE OF FIXED INSURANCE AND/OR FIXED ANNUITIES, AGENT, SINCE 5/5/2014, DEVOTED TIME IS 6 HRS A MONTH, DETERMINE WITH PROSPECT AND/OR CLIENT LIFE INSURANCE NEEDS. (6) TRAINER/EDUCATOR, A.W.SMITH FINANCIAL GROUP, 3954 SPRINGFIELD RD., GLEN ALLEN, VA 23060, NON INVESTMENT RELATED, START DATE 5/1/2011, 20 HOURS PER MONTH, EDUCATE FEDERAL EMPLOYEES REGARDING THEIR GOVERNMENT BENEFITS. (7) AUTHOR, A.W.SMITH FINANCIAL GROUP, 3954 SPRINGFIELD RD., GLEN ALLEN, VA 23060, NON INVESTMENT RELATED, START DATE 6/12/2009, 5 HOURS PER MONTH, MARKET SALES OF BOOKS THROUGH SPEAKING ENGAGEMENTS, AND CLASSES. (8) RADIO HOST, A.W.SMITH FINANCIAL GROUP, 3954 SPRINGFIELD RD., GLEN ALLEN, VA 23060, NON INVESTMENT RELATED, START DATE 9/5/201, 7 HOURS PER MONTH. (9) A.W. SMITH FINANCIAL GROUP INC., NON-INVESTMENT REALTED, 3954 SPRINGFIELD ROAD, GLEN ALLEN, VA 23060, SETTLEMENT CONSULTANT, SINCE 12/14/2012, DEVOTED TIME 2 HOURS A MONTH, REVIEW WITH CLEINT, ATTORNEY AND IF APPLICABLE, MEDIATOR AMOUNT OF SETTLEMENT AND DETERMINE WHAT PAYOUT BASED ON SETTLEMENT AMOUNT, FAMILY IMMEDIATE NEEDS, LONG TERM MEDICAL AND INCOME NEEDS MADE AVAILABLE BY ATTORNEY WORKS BEST FOR REPRESENTING ATTONREY'S CLIENT. (10) ESTATE PLAN NAVIGATOR POSITION: Marketer/ Data Entry NATURE: Administrative - conferencing with a potential prospect and inputting information into an online portal to determine if a will or trust is needed to protect an individual personal asset. Inputting the data, follow up appointments, edits/corrections and delivery of final documents. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 2 START DATE: 12/19/2022 ADDRESS: 3954 Springfield Road, Glen Allen VA 23060, United States DESCRIPTION: Marketing online portal/software to individual to create a will/or trust. (11) G2G EDUCATIONAL MODULES POSITION: Lecturer NATURE: Targeting a specific demographic (African American) to enhance educational knowledge of wealth building and generational legacy. Utilizing technology to create educational modules and discussing different topics concerning money and financial literacy. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/16/2023 ADDRESS: 3954 Springfield Road, n Allen VA 23060, United States DESCRIPTION: Teaching 20 to 30 minutes web-based classroom style topics regarding financial education focusing on African American generational wealth building.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Wayne Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aaron Wayne Smith'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®
Experience
Current
March 1, 2000 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3954 Springfield Road, Glen Allen, VA 23060RIA
BD
CRD#: 30833
Glen Allen, VA
Current
October 31, 1996 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3954 Springfield Road, Glen Allen, VA 23060RIA
BD
CRD#: 30833
Glen Allen, VA
Past
June 5, 1996 - October 7, 1996
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
California(9/12/2001)
IAR
California(9/27/2019)
RR
Colorado(10/8/2013)
IAR
Colorado(10/9/2013)
IAR
Delaware(1/17/2012)
RR
District of Columbia(9/21/2010)
IAR
District of Columbia(2/24/2012)
RR
Florida(4/23/2003)
IAR
Florida(11/30/2023)
RR
Georgia(9/11/2002)
IAR
Georgia(1/18/2012)
IAR
Illinois(3/21/2024)
RR
Kentucky(6/27/2011)
IAR
Kentucky(12/5/2012)
RR
Louisiana(3/26/2013)
IAR
Louisiana(4/1/2013)
RR
Maryland(7/27/1998)
IAR
Maryland(1/6/2011)
IAR
Mississippi(3/17/2021)
RR
New Jersey(1/10/2007)
IAR
New Jersey(12/5/2017)
RR
New York(11/10/2006)
IAR
New York(11/1/2021)
RR
North Carolina(7/2/2012)
IAR
North Carolina(3/18/2019)
RR
Ohio(8/2/2011)
RR
Pennsylvania(9/27/2012)
IAR
Pennsylvania(6/15/2021)
RR
South Carolina(9/10/2018)
IAR
South Carolina(3/11/2019)
RR
Texas(7/26/2018)
IAR
Texas(7/26/2018)
RR
Virginia(11/1/1996)
IAR
Virginia(3/1/2000)
IAR
Washington(9/26/2019)
RR
West Virginia(5/20/2013)
IAR
West Virginia(5/23/2013)
IAR
Wisconsin(7/9/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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 | 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Glen Allen, VA 23060TRUST BUT VERIFY
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