VM
Vic V. Mullet
CENTAURUS FINANCIAL
Laurel, MT
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CRD#: 4656976
VM
Professional summary
Vic V Mullet is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Laurel, Montana.
Vic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Vic has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
PRESIDENT OF GUARDIAN ALLIANCE FINANCIAL SERVICES, 2822 3RD AVE., SUITE #204, BILLINGS, MT 59808. NON INVESTMENT RELATED SINCE 05/2003 AND I SPEND APPROX. 80 HOURS PER MONTH ON THIS ACTIVITY. SALES OF HEALTH, & LIFE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Vic V Mullet's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vic V Mullet'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
January 3, 2007 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Laurel, MT
Current
January 3, 2007 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Laurel, MT
Past
February 17, 2006 - December 31, 2006
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
BILLINGS, MT
Past
January 19, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
BILLINGS, MT
Past
April 14, 2004 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
BILLINGS, MT
Past
April 6, 2004 - December 31, 2006
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
BILLINGS, MT
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
Alabama(7/1/2025)
RR
Arizona(7/10/2017)
RR
California(4/30/2010)
RR
Illinois(6/9/2025)
RR
Massachusetts(1/18/2024)
RR
Minnesota(9/4/2020)
RR
Montana(1/3/2007)
IAR
Montana(1/3/2007)
RR
Oregon(8/2/2022)
RR
South Dakota(1/2/2014)
RR
Texas(2/11/2021)
RR
Washington(7/10/2024)
IAR
Wyoming(2/2/2022)
RR
Wyoming(9/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
