KK
Kate M. King
CENTAURUS FINANCIAL
Irvine, CA 92618
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CRD#: 4654157
KK
Professional summary
Kate Marin King, CFP®, who also goes by Kate Marin Fox, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Irvine, California.
Kate is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Kate has worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kate Marin Fox
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.
WALTZ AND KING, NON-INVESTMENT RELATED, 4000 BARRANCA PARKWAY, SUITE #250, IRVINE, CA 92604, DBA, PARTNERSHIP, FINANCIAL PLANNER, DEVOTED TIME IS 20 HRS A MONTH, CERTIFIED FINANCIAL PLANNER, SINCE 5/9/2016. DBA THE KFK GROUP, OWNER/FOUNDER, SINCE 1/13/2012, 8 SUNNYVALE, IRVINE, CA 92602, BRANDING PURPOSES ONLY, NON-INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Kate Marin King's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kate Marin King'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: 2008
Experience
Current
April 1, 2010 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 530 Technology Drive Suite #100, Irvine, CA 92618RIA
BD
CRD#: 30833
Irvine, CA
Current
April 1, 2010 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 530 Technology Drive Suite #100, Irvine, CA 92618RIA
BD
CRD#: 30833
Irvine, CA
Past
June 1, 2009 - April 12, 2010
MORGAN STANLEY
RIA
CRD#: 149777
IRVINE, CA
Past
June 1, 2009 - April 12, 2010
MORGAN STANLEY
BD
CRD#: 149777
IRVINE, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
IRVINE, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
IRVINE, CA
Past
August 1, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
IRVINE, CA
Past
May 26, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
IRVINE, 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(4/10/2025)
RR
California(4/1/2010)
IAR
California(4/1/2010)
RR
Colorado(10/12/2022)
RR
Connecticut(4/5/2022)
IAR
Connecticut(4/5/2022)
IAR
Idaho(10/12/2023)
RR
Illinois(11/7/2018)
IAR
Illinois(12/5/2018)
RR
Indiana(1/2/2025)
IAR
Indiana(4/15/2025)
RR
Massachusetts(7/25/2014)
IAR
Massachusetts(4/3/2025)
RR
Nevada(10/31/2018)
RR
New York(1/16/2025)
RR
Ohio(8/30/2024)
RR
Oregon(1/9/2017)
IAR
Oregon(1/9/2017)
RR
Virginia(6/28/2011)
IAR
Virginia(3/11/2020)
RR
Washington(6/28/2011)
IAR
Washington(10/13/2021)
Exams
State Security Law Exam
General Industry/Product 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.
