MD
Michael A. Dipietro
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CRD#: 2811047
MD
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Albert Dipietro, who also goes by Mike Albert Dipietro, Michael Dipietro, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7, SIE, Series 6, Series 2 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Albert Dipietro | Michael Dipietro
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. OWNER, MICHAEL DIPIETRO, CPA, NON-INVESTMENT RELATED, 140 S. LAKE AVE., #324, PASADENA, CA 91101, ACCOUNTANCY FIRM, SINCE 1/1982, DEVOTED TIME IS 160 HOURS A MONTH, I MANAGE AN ACCOUNTANCY STAFF AND WORK DIRECTLY WITH CLIENTS ON STRATEGIC TAX PLANNING. OTHER ACTIVITIES INCLUDE AUDIT, ESTATE PLANNING, TAX REVIEW, AND TAX CONSULTATION. 2. MYRTLE AVE PROPERTIES, NON-INVESTMENT RELATED, 907 S. MYRTLE AVE., MONROVIA, CA 91016, COMMERCIAL PROPERTY RENTAL AND MANAGEMENT, OWNER, SINCE 1/2009, DEVOTED TIME IS 10 HOURS A MONTH, I UPKEEP THE PROPERTY AND MANAGE THE TENANTS. 3. CHINO COMMERCIAL BANK, NON-INVESTMENT RELATED, 14245 PIPELINE AVE., CHINO, CA 91710, BOARD MEMBER, SINCE 1/2015, DEVOTED TIME IS 5 HOURS A MONTH, ADVISE, CONSULT, AND HELP MAKE EXECUTIVE DECISION ON THE BOARD. 4. NUTRITION & EDUCATION INTERNATIONAL, NON-INVESTMENT RELATED, 2500 E. FOOTHILL BLVD., #202C, PASADENA, CA 91107, BOARD MEMBER, SINCE 1/2010, DEVOTED TIME IS 5 HOURS A MONTH, ADVISE, CONSULT AND HELP MAKE EXECUTIVE DECISIONS FOR THE BOARD. 5. CATHEDRAL HIGH SCHOOL, NON-INVESTMENT RELATED, 1253 BISHOPS RD., LOS ANGELES, CA 90012, BOARD MEMBER, SINCE 7/2018, DEVOTED TIME IS 5 HOURS A MONTH, ADVISE, CONSULT AND HELP MAKE EXECUTIVE DECISIONS WITH THE BOARD ON BEHALF OF THE SCHOOL. 6. ADOMANI INC., NON-INVESTMENT RELATED, 1215 GRAPHITE DRIVE, CORONA, CA 92881, ELECTRIC VEHICLES, TRANSPORTATION/DELIVERY, BOARD MEMBER, SINCE 3/16/2021, DEVOTED TIME IS 10 HOURS A MONTH, I AM A BOARD MEMBER AND AM ON THREE SEPARATE COMMITTEES. 7. DAN MURPHY FOUNDATION POSITION: Board Member NATURE: Charitable Foundation INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 800 West Sixth Street, Suite# 1240, Los Angeles CA 90017, United States DESCRIPTION: I am a board member on the Dan Murphy Foundation. This is a charitable foundation focused in the Los Angeles Catholic communities supporting many charitable programs. I am on the finance committee and help with decision making on these matters.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 15, 2019 - November 2, 2023
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
PASADENA, CA
Past
December 13, 2018 - November 2, 2023
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
PASADENA, CA
Past
May 19, 2014 - December 3, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PASADENA, CA
Past
May 16, 2014 - December 3, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PASADENA, CA
Past
December 8, 2009 - May 2, 2014
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
MONROVIA, CA
Past
February 9, 2009 - May 2, 2014
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
MONROVIA, CA
Past
March 16, 2005 - December 31, 2008
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
PASADENA, CA
Past
May 16, 2002 - February 18, 2005
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 12, 2002 - May 10, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
June 8, 1999 - 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.
Visual representation of state registrations
This advisor is not registered in any state.
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
General Industry/Product Exam
RR
Series 2
Date: 9/23/1996
Non-Member General Securities ExaminationPrincipal/Supervisory Exam
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.
