KI
Ken M. Ihori
CENTAURUS FINANCIAL
Glendale, AZ
CRD#: 2810228
KI
Professional summary
Ken Matsuo Ihori is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Glendale, Arizona.
Ken is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Ken has worked at 6 firms and has passed the Series 66, 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.
KEN IHORI, NON-INVESTMENT RELATED, GLENDALE, AZ 85302, SELL FIXED LIFE INSURANCE, OWNER, SINCE 7/1/2014. KEN IHORI, SOLE PROPRIETOR, OWNER, SINCE 1/1/2002, AT 5522 W. CINNABAR AVE., GLENDALE, AZ 85302, MODEL FOR PRINT ADS, TELEVISION, AND VIDEO, DEVOTED TIME IS 1 HR A MONTH, NON-INVESTMENT RELATED.
KEN IHORI, SOLE PROPRIETOR, OWNER, SINCE 1/1/2003, AT 5522 W. CINNABAR AVE., GLENDALE, AZ 85302, BUSINESS CONSULTING WHICH INCLUDES BUT IS NOT LIMITED TO MARKETING, SALES TRAINING/SUPPORT; SYSTEMS ANALYSIS, STRUCTURAL DESIGN/FUNCTIONS, DEVOTED TIME IS 1 HR A MONTH, NON-INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Ken Matsuo Ihori's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ken Matsuo Ihori'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
February 2, 2011 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Glendale, AZ
Current
January 31, 2011 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Glendale, AZ
Past
January 18, 2008 - February 2, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
TEMPE, AZ
Past
December 2, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
MESA, AZ
Past
December 2, 2002 - January 14, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MESA, AZ
Past
April 11, 1997 - December 18, 2002
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
March 3, 1997 - March 28, 1997
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
October 17, 1996 - February 28, 1997
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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(1/31/2011)
IAR
Arizona(8/10/2011)
RR
Florida(7/22/2020)
IAR
Florida(7/23/2020)
RR
Hawaii(4/25/2023)
IAR
Hawaii(5/2/2023)
RR
Nebraska(6/17/2020)
IAR
Nebraska(6/19/2020)
RR
Ohio(1/31/2011)
IAR
Ohio(2/2/2011)
RR
Washington(6/3/2020)
IAR
Washington(6/19/2020)
Exams
State Security Law Exam
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.
