Frank C. Carbrey
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.
Frank Charles Carbrey was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1970. Frank had worked at 15 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1996 - November 16, 2001
CENTAURUS FINANCIAL, INC.
June 1, 1996 - June 12, 1996
WALNUT STREET SECURITIES, INC.
September 6, 1994 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
September 10, 1991 - February 19, 1993
TOWER SQUARE SECURITIES, INC.
December 5, 1988 - September 27, 1991
PRUCO SECURITIES, LLC.
December 2, 1988 - September 27, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 23, 1983 - November 22, 1988
OSAIC FS, INC.
June 19, 1983 - October 31, 1983
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 10, 1982 - August 11, 1983
INTEGRATED RESOURCES EQUITY CORPORATION
May 4, 1977 - November 24, 1982
TOWER SQUARE SECURITIES, INC.
May 14, 1975 - August 16, 1977
WORLD CAPITAL BROKERAGE, INC.
November 2, 1972 - June 2, 1975
CORNERSTONE FINANCIAL SERVICES, INC.
January 8, 1971 - March 8, 1973
THE COLUMBIAN SECURITIES CORPORATION
October 21, 1970 - February 26, 1971
WARREN & SOMMER INVESTOR SERVICES INC
June 1, 1970 - February 4, 1971
ONEAMERICA SECURITIES, INC.
June 1, 1970 - February 4, 1971
AMERICAN UNITED LIFE INSURANCE COMPANY
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
Series 1
Date: 5/20/1970
Registered Representative ExaminationCurrent 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.
