Nazih M. Mahmood
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.
Nazih M Mahmood was a registered financial professional .
Nazih is a previously registered financial professional and started their career in finance in 2001. Nazih had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2012 - December 19, 2023
CENTAURUS FINANCIAL, INC.
April 19, 2012 - December 19, 2023
CENTAURUS FINANCIAL, INC.
April 2, 2012 - April 4, 2012
FIRST WESTERN ADVISORS
April 2, 2012 - April 4, 2012
FIRST WESTERN ADVISORS
October 31, 2007 - April 2, 2012
PAULSON INVESTMENT COMPANY LLC
October 31, 2007 - April 2, 2012
PAULSON INVESTMENT COMPANY LLC
May 3, 2005 - November 26, 2007
INVESTMENT MANAGEMENT CORPORATION
May 3, 2005 - November 26, 2007
INVESTMENT MANAGEMENT CORPORATION
June 1, 2004 - May 3, 2005
SECURIAN FINANCIAL SERVICES, INC.
May 28, 2004 - May 3, 2005
SECURIAN FINANCIAL SERVICES, INC.
January 16, 2004 - June 7, 2004
WS GRIFFITH SECURITIES, INC.
March 8, 2001 - June 7, 2004
WS GRIFFITH SECURITIES, INC.
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
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 | 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.
