CM
Charles E. Munoz
CENTAURUS FINANCIAL
Costa Mesa, CA 92626
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CRD#: 3243140
CM
Professional summary
Charles Eugene Munoz, AIF® is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Costa Mesa, California.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Charles has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
1. PRESIDENT, PINNACLE FINANCIAL RESOURCES-WEALTH MANAGEMENT, 2900 BRISTOL ST., #A-107, COSTA MESA, CA 92626. NON INVESTMENT RELATED SINCE 01/2011. DBA FOR BRANDING PURPOSES ONLY. 2. INSTRUCTOR, SANTIAGO CANYON COLLEGE, 2900 BRISTOL ST., #A-107, COSTA MESA, CA 92626. NON INVESTMENT RELATED SINCE 01/2011 AND I SPEND APPROX. 8 HOURS PER MONTH ON THIS ACTIVITY. I TEACH RETIREMENT PLANNING AT LOCAL COLLEGE. 3. UNITED HEALTH CARE, NON-INVESTMENT RELATED, 9900 BREN RD., EAST, SUITE #300W, MINNETONKA, MN 55343, MEDICARE ADVANTAGE AND MEDICARE SUPPLEMENT SALES, INDEPENDENT SALES, SINCE 3/30/2021, DEVOTED TIME IS 5 HOURS A MONTH. 4. WATERS AT CREEKSIDE POSITION: Board Member at Large NATURE: Board member of Homeowners Association NON-INVESTMENT RELATED. START DATE: 01/02/2023 ADDRESS: 2900 Bristol St., Costa Mesa CA 92626, United States DESCRIPTION: Board member of Homeowners Association
CRS (Client Relationship Summary) - RIA
Click below to view Charles Eugene Munoz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Eugene Munoz'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®
Experience
Current
July 11, 2005 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2900 Bristol Street Suite #a-107, Costa Mesa, CA 92626RIA
BD
CRD#: 30833
Costa Mesa, CA
Current
July 11, 2005 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2900 Bristol Street Suite #a-107, Costa Mesa, CA 92626RIA
BD
CRD#: 30833
Costa Mesa, CA
Past
August 22, 2000 - July 14, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
IRVINE, CA
Past
March 20, 2000 - July 14, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
California(7/11/2005)
IAR
California(7/11/2005)
IAR
Colorado(8/17/2022)
IAR
Minnesota(6/17/2018)
RR
Nevada(2/23/2024)
IAR
Nevada(2/23/2024)
IAR
Oregon(1/28/2019)
IAR
Texas(2/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
