RC
Richard T. Campbell
CENTAURUS FINANCIAL
Pacific Grove, CA
Some features on this profile are disabled
CRD#: 39338
RC
Professional summary
Richard Thomas Campbell is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Pacific Grove, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Richard has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1 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.
RICHARD T. CAMPBELL POSITION: Sole Proprietor NATURE: Sales and service of individual and small group health insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/01/1973 ADDRESS: Pacific Grove CA 93950, United States DESCRIPTION: Sales and service of individual and small group health insurance. Includes consulting, recommending and installing contracts.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Thomas Campbell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Thomas Campbell'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
May 1, 2007 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Pacific Grove, CA
Current
May 1, 2007 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Pacific Grove, CA
Past
July 8, 1997 - May 7, 2007
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
PLEASANT HILL, CA
Past
October 30, 1989 - May 7, 2007
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PACIFIC GROVE, CA
Past
July 6, 1987 - November 16, 1989
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
July 22, 1986 - July 9, 1987
PERSHING LLC
BD
CRD#: 7560
Past
December 5, 1984 - December 22, 1986
EQUITY ENGINEERING, INC.
BD
CRD#: 8260
Past
October 1, 1974 - December 19, 1986
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
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(1/2/2019)
RR
California(5/1/2007)
IAR
California(5/1/2007)
RR
New Mexico(1/4/2024)
IAR
New York(7/29/2021)
IAR
Oregon(7/7/2022)
IAR
Washington(6/2/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 7/21/1987
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 9/18/1974
Registered Representative ExaminationPrincipal/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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
