Charissa M. Swanson
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.
Charissa Marie Swanson, who also goes by Charissa M Prescott, Chris Marie Prescott, Chris M Swanson, Chris Marie Swanson, Charissa M Swanson, was a registered financial professional .
Charissa is a previously registered financial professional and started their career in finance in 1998. Charissa had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2021 - November 10, 2021
CENTAURUS FINANCIAL, INC.
July 20, 2021 - November 10, 2021
CENTAURUS FINANCIAL, INC.
July 14, 2015 - July 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 12, 2015 - July 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2007 - December 31, 2014
CITIGROUP GLOBAL MARKETS INC.
February 5, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 1, 2002 - February 5, 2003
CAL FED INVESTMENTS
May 21, 1998 - November 23, 1999
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
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.
