Jon G. Trauth
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.
Jon Grant Trauth was a registered financial advisor .
Jon is a previously registered financial advisor and started their career in finance in 1973. Jon had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2010 - February 14, 2012
CENTAURUS FINANCIAL, INC.
September 28, 2009 - December 23, 2009
WORLD CAPITAL BROKERAGE, INC.
February 27, 2006 - April 26, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 19, 2004 - May 20, 2005
IFMG SECURITIES, INC.
April 16, 2004 - May 20, 2005
IFMG SECURITIES, INC.
July 3, 2001 - July 28, 2003
GATEWAY INVESTMENT SERVICES, INC.
September 19, 2000 - June 26, 2001
ATLAS SECURITIES, LLC
September 29, 1999 - August 18, 2000
CITICORP INVESTMENT SERVICES
April 27, 1973 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 27, 1973 - July 2, 1999
IDS LIFE INSURANCE COMPANY
April 27, 1973 - July 2, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 1973 - May 25, 1973
LINCOLN FINANCIAL DISTRIBUTORS, 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
Series 1
Date: 3/5/1973
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 | 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.
