RT
Russell P. Trumm
CENTAURUS FINANCIAL
Roseville, CA 95661
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CRD#: 4496967
RT
Professional summary
Russell Paul Trumm, CFP® is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Roseville, California.
Russell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Russell has worked at 4 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.
FOX HILL FINANCIAL & INSURANCE SERVICE, INC., PRESIDENT, SINCE 1/1/2002, 2540 DOUGLAS BLVD., SUITE 200, ROSEVILLE, CA 95661, EMPLOYEE BENEFITS CONSULTING & SALES-ANALYSIS, DESIGN & IMPLEMENTATION OF EMPLOYEE AND EXECUTIVE BENEFIT PACKAGES-HEALTH, DENTAL, VISION, LIFE, DISABILITY, QUALIFIED AND NON-QUALIFIED RETIREMENT PLANS, I AM RESPONSIBLE FOR ALL OPERATIONS OF THE COMPANY, STRATEGIC PLANNING, MARKETING, SALES, TECHNOLOGY, ACCOUNTING, EMPLOYEE MANAGEMENT, DEVOTED TIME IS 80 HRS A MONTH, NON-INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Russell Paul Trumm's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Russell Paul Trumm'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®
CFP®
Start date: 2005
Experience
Current
February 24, 2011 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2540 Douglas Blvd. Suite #300, Roseville, CA 95661RIA
BD
CRD#: 30833
Roseville, CA
Current
February 24, 2011 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2540 Douglas Blvd. Suite #300, Roseville, CA 95661RIA
BD
CRD#: 30833
Roseville, CA
Past
May 9, 2007 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
ROSEVILLE, CA
Past
May 9, 2007 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
ROSEVILLE, CA
Past
September 30, 2003 - June 4, 2007
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
ROSEVILLE, CA
Past
January 30, 2002 - June 4, 2007
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
ROSEVILLE, CA
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
RR
Arizona(2/24/2011)
RR
California(2/24/2011)
IAR
California(2/24/2011)
RR
Florida(1/3/2023)
IAR
Florida(1/4/2023)
RR
Idaho(1/4/2023)
RR
Massachusetts(9/4/2012)
IAR
Massachusetts(9/12/2012)
RR
Missouri(5/6/2020)
IAR
Missouri(5/7/2020)
RR
Nevada(5/31/2018)
IAR
Nevada(8/28/2019)
RR
New York(5/6/2020)
IAR
New York(11/13/2021)
RR
North Carolina(2/1/2021)
IAR
North Carolina(2/1/2021)
RR
Oregon(4/26/2017)
IAR
Oregon(5/4/2017)
RR
Texas(8/7/2019)
IAR
Texas(8/8/2019)
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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Roseville, CA 95661TRUST BUT VERIFY
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