Patricia M. Kappen
Professional summary
Patricia Margaret Kappen, who also goes by Patricia Margaret Holohan, Patricia M Kappen, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Irvine, California.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Patricia has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Patricia Margaret Kappen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patricia Margaret Kappen's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 9870 Research Drive, Irvine, CA 92618February 22, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 9870 Research Drive, Irvine, CA 92618August 21, 2017 - February 23, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - February 23, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
November 17, 2011 - August 21, 2017
FINANCIAL WEST GROUP
November 17, 2011 - August 21, 2017
FINANCIAL WEST GROUP
September 7, 2010 - November 21, 2011
TORREY PINES SECURITIES, INC.
September 3, 2010 - November 21, 2011
TORREY PINES SECURITIES, INC.
December 7, 2009 - September 15, 2010
COOPER MCMANUS
December 3, 2009 - September 15, 2010
SECURITIES AMERICA, INC.
September 21, 2006 - December 4, 2009
GIRARD SECURITIES, INC.
September 21, 2006 - December 4, 2009
GIRARD SECURITIES, INC.
June 9, 2006 - September 28, 2006
INVESTORS CAPITAL CORP.
September 9, 2005 - September 28, 2006
INVESTORS CAPITAL CORP.
November 7, 2003 - September 28, 2005
WADDELL & REED
August 18, 2003 - September 28, 2005
WADDELL & REED
November 26, 2001 - July 22, 2003
SUNAMERICA SECURITIES, INC.
January 23, 2001 - November 12, 2001
CARDINAL CAPITAL MANAGEMENT, INC.
June 11, 1999 - January 30, 2001
SUNAMERICA SECURITIES, INC.
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
(2/22/2018)
(2/23/2018)
(12/6/2019)
(12/9/2019)
(2/22/2018)
(3/9/2018)
(6/1/2020)
(2/22/2018)
(2/23/2018)
(9/6/2024)
(9/9/2024)
(2/22/2018)
(11/1/2021)
(9/11/2018)
(7/12/2023)
(5/17/2018)
(2/22/2018)
(2/23/2018)
Exams
FINRA
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.
