LD
Lucas D. Dipietro
CENTAURUS FINANCIAL
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 5565637
LD
Professional summary
Lucas Daniel Dipietro, who also goes by Lucas Dipietro, Luke Dipietro, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Pasadena, California.
Lucas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Lucas has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lucas Dipietro | Luke Dipietro
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.
1. CGM, NON-INVESTMENT RELATED, 140 S. LAKE AVE., #324, PASADENA, CA 91101, PROPERTY AND CASUALTY INSURANCE, AGENT, SINCE 2/27/2019, DEVOTED TIME IS 10 HOURS A MONTH, I SOLICIT, REVIEW AND RECOMMEND TO PROSPECTIVE AND EXISTENT CLIENTS INSURANCE SERVICES PERTAINING TO AUTO, HOME, LIABILITY, BUSINESS, DEFERRED COMPENSATION AND OTHER PROPERTY AND CASUALTY RELATED LINE. 2. LUCAS DIPIETRO, NON-INVESTMENT RELATED, 140 S. LAKE AVE., #140, PASADENA, CA 91101, HEALTH INSURANCE SALES, AGENT, SINCE 9/1/2017, DEVOTED TIME IS 2 HOURS A MONTH, I PROSPECT CURRENT CLIENTS AND OFFER GROUP HEALTH INSURANCE FOR THEM AND THEIR EMPLOYEES. 3. MICHAEL DIPIERO CPA, NON-INVESTMENT RELATED, 140 S. LAKE AVE., #324, PASADENA, CA 91101, CPA FIRM, ASSISTANT, SINCE 6/2009, DEVOTED TIME IS 40 HOURS A MONTH, ASSIST MICHAEL DIPIETRO IN CPA BUSINESS. 4. RIGHT TO LIFE LEAGUE OF SC, NON-INVESTMENT RELATED, 1028 N. LAKE AVE., #207, PASADENA, CA 91104, NON-PROFIT, BOARD MEMBER, SINCE 2/1/2021, DEVOTED TIME IS 5 HOURS, ADVISE AND CONSULT REGARDING ISSUES OF DEVELOPMENT, FINANCE, AND BUDGETING. 5. MEMORABILIA COLLECTING, NON-INVESTMENT RELATED, PASADENA, CA 91107, MEMORABILIA COLLECTING, OWNER, SINCE 3/1/2022, DEVOTED TIME IS 10 HOURS A MONTH, ACQUIRE AND SELL SPORTS MEMORABILIA PASSIVELY. PRISM FINANCIAL POSITION: president NATURE: financial services - INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2024 ADDRESS: 140 S Lake Ave, #324, Pasadena CA 91101, United States DESCRIPTION: S Corp set up to ultimately be used as a DBA for future branding, marketing. RIGHT TO LIFE OF SOCAL TREASURER POSITION: Treasurer NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/19/2024 ADDRESS: 1028 N Lake Ave, #207, Pasadena CA 91104, United States DESCRIPTION: My duties for this non profit are to help organize financial data for the charity and consult regarding budgeting, program fund raising, program fund allocation, investment account advisement, and bank transaction oversight. I also work in reviewing and approving financial statements drafted by the non profit accountant.
CRS (Client Relationship Summary) - RIA
Click below to view Lucas Daniel Dipietro's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lucas Daniel Dipietro'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
October 19, 2016 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 140 S. Lake Avenue Suite #324, Pasadena, CA 91101RIA
BD
CRD#: 30833
Pasadena, CA
Current
October 19, 2016 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 140 S. Lake Avenue Suite #324, Pasadena, CA 91101RIA
BD
CRD#: 30833
Pasadena, CA
Past
August 9, 2016 - November 15, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PASADENA, CA
Past
May 16, 2014 - November 15, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PASADENA, CA
Past
September 15, 2011 - May 2, 2014
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
MONROVIA, 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(10/19/2016)
RR
California(10/19/2016)
IAR
California(10/20/2016)
RR
Colorado(9/29/2025)
IAR
Colorado(10/1/2025)
RR
Hawaii(10/19/2016)
IAR
Hawaii(10/19/2016)
RR
Idaho(10/19/2016)
IAR
Idaho(10/19/2016)
RR
Illinois(3/5/2018)
RR
Maine(10/19/2016)
RR
Massachusetts(1/7/2022)
IAR
Massachusetts(5/25/2022)
RR
Missouri(2/6/2017)
RR
Montana(10/19/2016)
RR
Nevada(11/17/2016)
RR
New Jersey(2/14/2024)
IAR
New Jersey(2/15/2024)
RR
North Carolina(5/15/2019)
IAR
North Carolina(8/4/2025)
RR
North Dakota(3/27/2023)
IAR
North Dakota(8/6/2025)
RR
Oregon(1/3/2022)
IAR
Oregon(1/6/2022)
RR
Pennsylvania(8/20/2018)
RR
South Carolina(5/10/2019)
IAR
South Dakota(8/4/2025)
RR
Tennessee(7/21/2022)
RR
Texas(9/16/2022)
IAR
Texas(9/19/2022)
RR
Utah(3/4/2022)
IAR
Utah(3/7/2022)
RR
Virginia(10/19/2016)
RR
Washington(10/19/2016)
IAR
Washington(10/19/2016)
RR
West Virginia(1/9/2023)
IAR
West Virginia(1/13/2023)
RR
Wyoming(3/4/2022)
Exams
State Security Law Exam
State Security Law 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.
