TM
Tom R. Miller
CENTAURUS FINANCIAL
Frisco, CO 80443
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CRD#: 5442649
TM
Professional summary
Tom Ryan Miller, who also goes by Tom Miller, is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in Frisco, Colorado.
Tom is registered as a RR (Registered Representative) and started their career in finance in 2007. Tom has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Miller
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) - BD
Click below to view Tom Ryan Miller'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
December 7, 2007 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 101 East Main Street, Frisco, CO 80443RIA
BD
CRD#: 30833
Frisco, CO
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.
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(10/15/2020)
RR
Arizona(1/19/2011)
RR
Arkansas(6/13/2018)
RR
California(7/8/2013)
RR
Colorado(12/7/2007)
RR
Connecticut(6/7/2017)
RR
District of Columbia(4/26/2019)
RR
Florida(7/28/2014)
RR
Georgia(6/18/2025)
RR
Hawaii(9/22/2016)
RR
Indiana(12/11/2024)
RR
Iowa(5/21/2013)
RR
Kansas(4/27/2017)
RR
Michigan(6/14/2017)
RR
Minnesota(1/19/2011)
RR
Mississippi(11/24/2015)
RR
Missouri(11/24/2015)
RR
Montana(9/26/2019)
RR
Nebraska(1/25/2021)
RR
Nevada(4/25/2011)
RR
New Hampshire(10/23/2023)
RR
New Mexico(4/14/2014)
RR
North Carolina(11/25/2015)
RR
Ohio(5/31/2016)
RR
Oklahoma(3/20/2018)
RR
Oregon(7/31/2019)
RR
Pennsylvania(2/25/2014)
RR
South Carolina(7/8/2025)
RR
Tennessee(1/16/2024)
RR
Texas(9/8/2014)
RR
Utah(3/12/2013)
RR
Virginia(11/24/2015)
RR
Washington(7/29/2013)
RR
Wyoming(10/9/2020)
Exams
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.
