Gary L. Sauve
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.
Gary Lee Sauve was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2015 - March 9, 2021
CENTAURUS FINANCIAL, INC.
June 4, 2015 - March 9, 2021
CENTAURUS FINANCIAL, INC.
September 15, 2008 - June 10, 2015
PLANMEMBER SECURITIES CORPORATION
September 11, 2008 - June 10, 2015
PLANMEMBER SECURITIES CORPORATION
September 21, 2006 - September 16, 2008
GUNNALLEN FINANCIAL, INC
September 20, 2006 - September 16, 2008
GUNNALLEN FINANCIAL, INC
October 23, 2004 - September 22, 2006
CINCINNATI ANALYSTS, INC.
September 21, 2004 - September 22, 2006
CINCINNATI ANALYSTS, INC.
November 1, 2001 - September 21, 2004
ON INVESTMENT MANAGEMENT CO
February 25, 1993 - July 30, 2004
THE O.N. EQUITY SALES COMPANY
January 2, 1992 - February 24, 1993
TITAN/VALUE EQUITIES GROUP, INC.
March 23, 1990 - December 31, 1991
OPPENHEIMER & CO. INC.
December 23, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
June 10, 1985 - December 23, 1988
MORISON SECURITIES, INC.
March 4, 1981 - June 17, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
January 2, 1979 - April 10, 1981
MONY SECURITIES CORPORATION
January 2, 1979 - February 7, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
June 6, 1977 - November 26, 1978
TOWER SQUARE SECURITIES, INC.
August 21, 1970 - June 20, 1977
LUTHERAN BROTHERHOOD SECURITIES CORP.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 8/15/1970
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 | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE 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.
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