MW
Mark T. Woodfield
CENTAURUS FINANCIAL
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 4870192
MW
Professional summary
Mark Thomas Woodfield, who also goes by Mark Woodfield, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Scottsdale, Arizona.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Woodfield
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Thomas Woodfield's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Thomas Woodfield'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
March 27, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8753 E. Bell Road Suite #101, Scottsdale, AZ 85260RIA
BD
CRD#: 30833
Scottsdale, AZ
Current
May 30, 2008 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8753 E. Bell Road Suite #101, Scottsdale, AZ 85260RIA
BD
CRD#: 30833
Scottsdale, AZ
Past
March 14, 2008 - June 3, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SCOTTSDALE, AZ
Past
February 15, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
SCOTTSDALE, AZ
Past
February 15, 2005 - March 14, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PHOENIX, AZ
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
Alaska(8/19/2022)
RR
Arizona(5/30/2008)
IAR
Arizona(3/27/2012)
RR
California(5/30/2008)
IAR
California(7/14/2020)
RR
Colorado(9/17/2009)
IAR
Colorado(5/1/2012)
IAR
Delaware(1/3/2024)
RR
Florida(10/28/2010)
IAR
Florida(8/23/2018)
RR
Hawaii(1/6/2011)
RR
Illinois(4/13/2021)
RR
Iowa(2/19/2014)
IAR
Iowa(12/10/2018)
RR
Kentucky(3/13/2014)
RR
Maine(4/24/2012)
IAR
Maine(4/24/2012)
RR
Maryland(1/25/2011)
IAR
Maryland(6/7/2018)
RR
Massachusetts(10/7/2011)
IAR
Massachusetts(5/31/2012)
RR
Michigan(3/13/2014)
RR
Minnesota(3/13/2014)
IAR
Minnesota(12/24/2019)
RR
Montana(3/13/2014)
RR
Nevada(5/30/2008)
IAR
Nevada(4/18/2012)
RR
New Hampshire(1/29/2020)
IAR
New Hampshire(1/8/2024)
RR
New Jersey(11/30/2010)
IAR
New Mexico(6/13/2024)
IAR
New York(1/2/2025)
RR
North Carolina(5/21/2012)
IAR
North Carolina(1/6/2020)
RR
Ohio(1/2/2024)
IAR
Ohio(1/2/2024)
RR
Oklahoma(1/3/2019)
IAR
Oklahoma(1/16/2019)
RR
Oregon(2/21/2013)
RR
Pennsylvania(7/14/2010)
IAR
Pennsylvania(1/3/2024)
RR
South Carolina(3/3/2014)
IAR
South Carolina(6/12/2015)
RR
South Dakota(3/13/2014)
RR
Tennessee(10/4/2010)
RR
Texas(11/30/2012)
IAR
Texas(11/30/2012)
RR
Utah(1/3/2012)
IAR
Utah(1/3/2024)
RR
Virginia(3/13/2014)
IAR
Virginia(3/13/2018)
RR
Washington(5/30/2008)
IAR
Washington(8/17/2018)
RR
Wisconsin(8/3/2011)
IAR
Wisconsin(4/26/2012)
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 | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE 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.
