Katherine Schwartz
Professional summary
Katherine Schwartz, who also goes by Katherine Coleman Bugbee, Katherine Coleman Schwartz, Katherine Coleman Sullivan, Katherine Sullivan, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Scottsdale, Arizona.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Katherine has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Schwartz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katherine Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 2026 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8753 E. Bell Road Suite #101, Scottsdale, AZ 85260March 3, 2026 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8753 E. Bell Road Suite #101, Scottsdale, AZ 85260June 27, 2024 - March 13, 2026
COLOMB INVESTMENT MANAGEMENT COMPANY, LLC
November 7, 2023 - March 14, 2024
LPL FINANCIAL LLC
November 7, 2023 - March 14, 2024
LPL FINANCIAL LLC
August 18, 2021 - February 3, 2022
MORGAN STANLEY
August 9, 2021 - February 3, 2022
MORGAN STANLEY
December 2, 2019 - December 11, 2019
VANGUARD ADVISERS, INC.
August 22, 2018 - December 11, 2019
VANGUARD MARKETING CORPORATION
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
(3/3/2026)
(3/4/2026)
Exams
FINRA
Current 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
