AS
Annette P. Shanks
CENTAURUS FINANCIAL
San Luis Obispo, CA 93401
Some features on this profile are disabled
CRD#: 4052529
AS
Professional summary
Annette Patricia Shanks, ChFC®, who also goes by Annette Patricia Liss, Annie P Shanks, Annette Patricia Shanks, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in San Luis Obispo, California.
Annette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Annette has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Annette Patricia Liss | Annie P Shanks | Annette Patricia Shanks
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. Medallion Financial and Insurance Services, non-investment related, 3591 Sacramento Dr., #102, San Luis Obispo, CA 93401, fixed annuity, LTC, life insurance and DI, insurance agent, since 2019, devoted time is 5 hours a month, source insurance products for clients, write applications, track underwriting, deliver and service. 2. Residential Triplex, non-investment related, 1420/1428 Johnson Ave., San Luis Obispo, CA 93401, residential real estate, landlord/owner, since 2002, devoted time is 5 hours a month, collect rent, maintain property and find tenants. 3. Medallion Financial and Insurance Services, non-investment related, 3591 Sacramento Dr., #102, San Luis Obispo, CA 93401, DBA for branding purposes, owner.
CRS (Client Relationship Summary) - RIA
Click below to view Annette Patricia Shanks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Annette Patricia Shanks'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
December 14, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3591 Sacramento Drive Suite #102, San Luis Obispo, CA 93401RIA
BD
CRD#: 30833
San Luis Obispo, CA
Current
December 14, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 3591 Sacramento Drive Suite #102, San Luis Obispo, CA 93401RIA
BD
CRD#: 30833
San Luis Obispo, CA
Past
January 6, 2015 - December 2, 2022
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
SAN LUIS OBISPO, CA
Past
January 6, 2015 - December 2, 2022
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
San Luis Obispo, CA
Past
March 1, 2012 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SAN LUIS OBISPO, CA
Past
February 16, 2012 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SAN LUIS OBISPO, CA
Past
December 7, 2010 - February 27, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
GROVER BEACH, CA
Past
December 6, 2010 - February 27, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
GROVER BEACH, CA
Past
November 18, 2009 - November 19, 2010
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
SAN LUIS OBISPO, CA
Past
November 17, 2009 - November 19, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
SAN LUIS OBISPO, CA
Past
January 28, 2008 - November 19, 2009
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
SAN LUIS OBISPO, CA
Past
September 10, 2001 - November 19, 2009
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
November 17, 2000 - August 10, 2001
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
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(12/14/2022)
RR
California(12/14/2022)
IAR
California(12/15/2022)
IAR
Massachusetts(1/3/2023)
RR
South Carolina(12/14/2022)
IAR
South Carolina(12/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833San Luis Obispo, CA 93401TRUST BUT VERIFY
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