NM
Noreen E. Mares
CENTAURUS FINANCIAL
Downey, CA 90241
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CRD#: 5604174
NM
Professional summary
Noreen Emily Mares, who also goes by Noreen Emily Alvarez, Noreen Mares, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Downey, California.
Noreen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Noreen has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Noreen Emily Alvarez | Noreen Mares
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.
Ramos Consulting and Wealth Management Firm, non-investment related, 8141 2nd street, Suite #330, Downey, CA 90241, DBA for branding purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Noreen Emily Mares's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Noreen Emily Mares'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 10, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8141 E. 2nd Street Suite #330, Downey, CA 90241RIA
BD
CRD#: 30833
Downey, CA
Current
February 15, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8141 E. 2nd Street Suite #330, Downey, CA 90241RIA
BD
CRD#: 30833
Downey, CA
Past
January 3, 2011 - March 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN MARINO, CA
Past
January 3, 2011 - March 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN MARINO, CA
Past
December 23, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
EL MONTE, CA
Past
December 4, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
EL MONTE, CA
Past
December 11, 2008 - July 22, 2009
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
LOS ANGELES, 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
IAR
California(2/10/2022)
RR
California(2/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral 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.
