JM
Joanna D. Mccomsey
CENTAURUS FINANCIAL
Anaheim, CA 92806
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CRD#: 3101022
JM
Professional summary
Joanna Dawn Mccomsey, who also goes by Joanna Dawn Hampton, Joanna D Shott, Joanna Dawn Shott, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Anaheim, California.
Joanna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Joanna has worked at 8 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 4, Series 53, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joanna Dawn Hampton | Joanna D Shott | Joanna Dawn Shott
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.
F45 Fitness, non-investment related, 31230 Cedar Valley Dr., Westlake Village, CA 91362, boot camp gym, trainer, since 12/1/2021, devoted time is 3 hours a month, coach/train a 45 minute boot camp class one evening after work and weekend mornings.
CRS (Client Relationship Summary) - RIA
Click below to view Joanna Dawn Mccomsey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joanna Dawn Mccomsey'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 21, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806Office #3: 540 Fort Evans Road, Ne Suite #200, Leesburg, VA 20176RIA
BD
CRD#: 30833
Anaheim, CA
Current
February 20, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806Office #3: 540 Fort Evans Road, Ne Suite #200, Leesburg, VA 20176RIA
BD
CRD#: 30833
Anaheim, CA
Current
November 5, 2020 - Present
PACIFIC POINT SECURITIES, LLC
Office #1: 2300 E. Katella, Suite 275, Anaheim, CA 92806-6047BD
CRD#: 150272
Anaheim, CA
Past
June 3, 2014 - February 17, 2017
FINANCIAL WEST GROUP
RIA
CRD#: 16668
WESTLAKE VILLAGE, CA
Past
June 2, 2014 - February 17, 2017
FINANCIAL WEST GROUP
BD
CRD#: 16668
WESTLAKE VILLAGE, CA
Past
April 23, 2013 - May 30, 2014
AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC
RIA
CRD#: 160322
CALABASAS, CA
Past
October 25, 2004 - June 5, 2014
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
CALABASAS, CA
Past
October 23, 2004 - June 5, 2014
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CALABASAS, CA
Past
December 20, 1999 - October 22, 2004
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WESTLAKE VILLAGE, CA
Past
November 19, 1999 - October 22, 2004
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
December 4, 1998 - June 30, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
California(2/20/2017)
IAR
California(2/21/2017)
RR
Florida(12/4/2020)
RR
Texas(6/28/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
