RF
Regina V. Frias
CENTAURUS FINANCIAL
SEAL BEACH, CA
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CRD#: 2748727
RF
Professional summary
Regina V Frias, who also goes by Regina VIllacorte Frias, Regina Frias, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Seal Beach, California.
Regina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Regina has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Regina Villacorte Frias | Regina Frias
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). LSPN- LEGAL SERVICES PROFESSIONAL NETWORK, NON-INVESTMENT RELATED, 100 N STATE ST #B, LINTON, UT, 84042-1808, TRUST LEGAL SERVICES, MARKETING REP, INDEPENDENT CONTRACTOR, STARTED IN 09/2023, 1-PERCENT OF MY TIME DEVOTED IN A YEAR, EDUCATE CLIENTS THE IMPORTANCE OF HAVING A LIVING TRUST, FOR MORE ADVANCE ESTATE PLANNING FOR CLIENTS WHO NEED IT. 2). WFGIA-WORLD FINANCIAL GROUP INSURANCE AGENCY POSITION: MARKETING DIRECTOR NATURE: WFGIA is an insurance agency sells non-investment related products INSURANCE FIX PRODUCTS CRUMP is IMO that WFGIA uses outside of the preferred insurance companies INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 0 START DATE: 03/31/1997 ADDRESS: 11315 JOHNS CREEK PKWY, DULUTH GA 30097, United States DESCRIPTION: MARKETING REP MARKETING DIRECTOR INSURANCE REP
CRS (Client Relationship Summary) - RIA
Click below to view Regina V Frias's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Regina V Frias'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
May 9, 2025 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
SEAL BEACH, CA
Current
May 9, 2025 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
SEAL BEACH, CA
Past
May 24, 2024 - December 31, 2024
VANDERBILT ADVISORY SERVICES
RIA
CRD#: 116537
Seal Beach, CA
Past
May 24, 2024 - December 31, 2024
VANDERBILT SECURITIES, LLC
BD
CRD#: 5953
Seal Beach, CA
Past
January 6, 2012 - May 2, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
Fullerton, CA
Past
January 6, 2012 - May 2, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
Fullerton, CA
Past
July 9, 2007 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
ANAHEIM, CA
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ANAHEIM, CA
Past
June 24, 1996 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
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
IAR
California(5/9/2025)
RR
California(5/12/2025)
RR
Florida(6/17/2025)
IAR
Florida(6/17/2025)
RR
Illinois(5/28/2025)
IAR
Illinois(5/28/2025)
RR
Nevada(6/2/2025)
IAR
Nevada(6/2/2025)
RR
New York(5/13/2025)
RR
Texas(5/12/2025)
RR
Utah(5/12/2025)
RR
Virginia(5/14/2025)
Exams
State Security Law Exam
State Security Law 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
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.
