AW
April L. Waldman
CENTAURUS FINANCIAL
Bellingham, WA
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CRD#: 4653460
AW
Professional summary
April Lynne Waldman, who also goes by April Lynn Miller, April Lynn Waldman, Apryl Lynn Waldman, Apryl Lynn Wargo, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Bellingham, Washington.
April is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. April has worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
April Lynn Miller | April Lynn Waldman | Apryl Lynn Waldman | Apryl Lynn Wargo
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. MONTECITO FINANCIAL SERVICES, NON-INVESTMENT RELATED, BELLINGHAM, WA 98226, DBA FOR MARKETING AND BRANDING PURPOSES, MEMBER, SINCE 11/20/2020. 2. LE RUCHER MERCY MINISTRIES POSITION: Teasurer NATURE: Non-profit organization 501c3 INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2012 ADDRESS: Belingham WA 98226, United States DESCRIPTION: I oversee the activities of the accounting firm responsible for receiving and processing donations.
CRS (Client Relationship Summary) - RIA
Click below to view April Lynne Waldman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view April Lynne Waldman'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
August 20, 2019 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Bellingham, WA
Current
August 19, 2019 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Bellingham, WA
Past
August 4, 2015 - January 10, 2019
MOODY SECURITIES, LLC
BD
CRD#: 148771
HOUSTON, TX
Past
August 19, 2014 - August 4, 2015
TERRA CAPITAL MARKETS LLC
BD
CRD#: 123762
NEW YORK, NY
Past
August 29, 2012 - January 2, 2013
U.S. STERLING SECURITIES, INC.
BD
CRD#: 35912
HAUPPAUGE, NY
Past
April 3, 2012 - August 27, 2012
U.S. STERLING SECURITIES, INC.
BD
CRD#: 35912
HAUPPAUGE, NY
Past
October 21, 2009 - March 16, 2012
HEDGELAB CAPITAL MANAGEMENT LLC
RIA
CRD#: 148899
SEATTLE, WA
Past
August 18, 2009 - January 13, 2011
CAZENAVE AND CO., INC.
BD
CRD#: 20721
WESTMINSTER, CO
Past
April 15, 2005 - June 18, 2009
LIGHTSTONE SECURITIES, LLC
BD
CRD#: 132596
NEW YORK, NY
Past
March 22, 2004 - March 22, 2005
KELMOORE INVESTMENT COMPANY, INC.
BD
CRD#: 22509
PALO ALTO, CA
Past
April 24, 2003 - March 24, 2004
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, 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
California(8/19/2019)
IAR
California(8/20/2019)
RR
Colorado(11/27/2020)
IAR
District of Columbia(2/3/2025)
RR
Florida(6/15/2020)
IAR
Florida(1/3/2024)
RR
Georgia(2/17/2023)
IAR
Georgia(6/27/2023)
RR
Michigan(3/24/2020)
IAR
Michigan(3/5/2024)
IAR
Missouri(1/24/2025)
RR
New York(11/8/2022)
RR
Oregon(8/19/2019)
IAR
Oregon(12/17/2019)
RR
Texas(8/30/2019)
IAR
Texas(2/7/2024)
RR
Washington(8/19/2019)
IAR
Washington(12/17/2019)
IAR
West Virginia(2/14/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
