TC
Travis R. Cornett
CENTAURUS FINANCIAL
Holladay, UT 84117
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CRD#: 5143339
TC
Professional summary
Travis Robert Cornett is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Holladay, Utah.
Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Travis has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
OUT OF EGRESS, INC., DBA HOLLADAY WEALTH ADVISORS, INVESTMENT RELATED, 2225 E. MURRAY-HOLLADAY RD., SUITE #106, HOLLADAY, UT 84117, DBA FOR BRANDING PURPOSES, BRANCH MANAGER/ADVISOR, SINCE 3/29/2018. BRANCH MANAGER/ADVISOR, SINCE 2/26/2018. OUT OF EGRESS INC. DBA DREAM IT FINANCIAL, PRESIDENT, SINCE 4/2/2010, 2225 E. MURRAY-HOLLADAY RD., STE. 106, HOLLADAY, UT 84117, MEETING WITH PROSPECTS AND CLIENTS TO DO FINANCIAL PLANNING, INVESTMENT AND INSURANCE BUSINESS, AND ADMIN. DUTIES, DEVOTED TIME IS 106 HRS A MONTH, NON-INVESTMENT RELATED. OUT OF EGRESS, INC. DBA HOLLADAY WEALTH ADVISORS POSITION: Branch Manager/Advisor NATURE: Used for state and local business registration, taxes and branding purposes. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 12/05/2023 ADDRESS: 2225 E. Murray-Holladay Rd, Suite 106, Holladay UT 84117, United States DESCRIPTION: This DBA is used for state and local business registration, taxation. INDEPENDENT INSURANCE AGENT THROUGH BUSINESS ENTITY OUT OF EGRESS: DBA HOLLADAY WEALTH ADVISORS POSITION: Branch Manager/Advisor NATURE: Disability and Health Insurance sales related to Financial Planning activities. This activity is done through our business Out of Egress: DBA Holladay Wealth Advisors which is being used only for branding, expensing and marketing purposes. It is not a licensed insurance agency. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 06/01/2010 ADDRESS: 2225 E. Murray-Holladay Rd, Suite 106, Holladay UT 84117, United States DESCRIPTION: As part of the financial planning process, occasionally I will sell health and/or disability insurance plans to clients. I do not currently have any active appointments for Health or Disability Insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Travis Robert Cornett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Travis Robert Cornett'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
February 1, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2225 E. Murray Holladay Road Suite #106, Holladay, UT 84117RIA
BD
CRD#: 30833
Holladay, UT
Current
January 3, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2225 E. Murray Holladay Road Suite #106, Holladay, UT 84117RIA
BD
CRD#: 30833
Holladay, UT
Past
April 22, 2010 - December 31, 2011
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
FT. LAUDERDALE, FL
Past
April 21, 2010 - December 31, 2011
KOVACK SECURITIES INC.
BD
CRD#: 44848
HOLLADAY, UT
Past
August 15, 2006 - April 8, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MIDVALE, UT
Past
August 1, 2006 - April 8, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MIDVALE, UT
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
Utah(2/1/2012)
IAR
Utah(2/1/2012)
Exams
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.
