VH
Vernon L. Henifin
CENTAURUS FINANCIAL
Spokane, WA 99201
Some features on this profile are disabled
CRD#: 2986399
VH
Professional summary
Vernon Lloy Henifin is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Spokane, Washington.
Vernon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Vernon has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22 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.
NORTHWEST FINANCIAL SOLUTIONS, OWNER, 14050 SW PACIFIC HWY., SUTIE #212, TIGARD, OR 97224; OFFERS FINANCIAL SERVICES, INSURANCE, AND INVESTMENT PRODUCTS, SINCE 12/1998,
AGENT; SALE OF LIFE, HEALTH, LTC AND DISABILITY THROUGH VARIOUS INSURANCE COMPANIES, NON-INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Vernon Lloy Henifin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vernon Lloy Henifin'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
January 10, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 216 W. Pacific Suite # 108, Spokane, WA 99201RIA
BD
CRD#: 30833
Spokane, WA
Current
December 8, 2011 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 216 W. Pacific Suite # 108, Spokane, WA 99201RIA
BD
CRD#: 30833
Spokane, WA
Past
December 8, 2011 - December 15, 2011
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
TUALATIN, OR
Past
April 30, 2004 - December 9, 2011
SPC
RIA
CRD#: 110692
TIGARD, OR
Past
February 9, 2002 - December 9, 2011
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
TIGARD, OR
Past
June 18, 2001 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
March 5, 2001 - June 18, 2001
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
NEW YORK, NY
Past
July 18, 2000 - June 13, 2001
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
November 19, 1998 - July 10, 2000
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
December 24, 1997 - November 12, 1998
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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(5/2/2025)
IAR
Arizona(5/2/2025)
RR
California(1/12/2012)
IAR
Nevada(12/14/2021)
RR
Oregon(1/10/2012)
IAR
Oregon(1/10/2012)
RR
Washington(12/8/2011)
IAR
Washington(2/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/11/2008
Corporate Securities Limited Representative ExaminationGeneral 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.
