MM
Michael A. Montgomery
CENTAURUS FINANCIAL
Temple, TX 76504
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CRD#: 4467721
MM
Professional summary
Michael Andrew Montgomery is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Temple, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. PROPERTY MANAGEMENT, NON-INVESTMENT RELATED, 1949 SCOTT BLVD., TEMPLE, TX 76504, RENTAL INCOME FROM OWNERSHIP OF BUILDING, SHAREHOLDER, SINCE 1/1/2013. 2. TEACHER, UNIVERSITY OF MARY HARDIN BAYLOR, 900 N. COLLEGE ST., BELTON, TX 76513, NON INVESTMENT RELATED, 24 HOURS PER MONTH, START DATE 8-31-2006. 3. ACCOUNTING. PARTNER, STRUCTURED ASSOCIATES OF TEXAS, INC.,1949 SCOTT BLVD., TEMPLE, TX 76513, START DATE 8-31-1999, 0 HOURS PER MONTH, NON INVESTMENT RELATED, SALES OF FIXED ANNUITY INSURANCE. 4. PARTNER, LUDWICK, MONTGOMERY & STAPP, P.C. 1949 SCOTT BLVD., TEMPLE, TX 76513, 120 HOURS PER MONTH, NON INVESTMENT RELATED, START DATE 9-1-1999, SHAREHOLDER, PARTNER & VICE PRESIDENT IN TAX, AUDIT & ACCOUNTING FIRM. 5. PARTNER, FLAGSTONE ADVISORS, 1949 SCOTT BLVD., TEMPLE, TX 76513, INVESTMENT RELATED, START DATE 8-31-1999, 5 HOURS PER MONTH, SALES OF LTC AND UL INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Andrew Montgomery's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Andrew Montgomery'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®
NoneExperience
Current
September 29, 2006 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1949 Scott Blvd., Temple, TX 76504RIA
BD
CRD#: 30833
Temple, TX
Current
September 29, 2006 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1949 Scott Blvd., Temple, TX 76504RIA
BD
CRD#: 30833
Temple, TX
Past
May 10, 2006 - September 26, 2006
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
TEMPLE, TX
Past
August 22, 2002 - May 22, 2006
USALLIANZ SECURITIES, INC.
RIA
CRD#: 40875
TEMPLE, TX
Past
February 26, 2002 - September 29, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
TEMPLE, TX
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
IAR
Arizona(8/27/2018)
IAR
Arkansas(1/24/2012)
RR
Arkansas(3/6/2020)
RR
California(4/27/2011)
IAR
Colorado(1/24/2012)
RR
Colorado(4/11/2025)
IAR
Florida(12/10/2020)
RR
New Mexico(4/11/2025)
IAR
New Mexico(4/14/2025)
RR
Texas(9/29/2006)
IAR
Texas(9/29/2006)
RR
Utah(5/11/2020)
RR
Virginia(6/14/2007)
IAR
Virginia(8/29/2018)
Exams
State Security Law 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.
