KM
Kurt W. Moseley
CENTAURUS FINANCIAL
Upland, CA 91786
Some features on this profile are disabled
CRD#: 5764176
KM
Professional summary
Kurt Willliam Moseley is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Upland, California.
Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Kurt has worked at 1 firm and has passed the Series 66, SIE and Series 7 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.
1. CGM RISK MANAGEMENT & INSURANCE SOLUTIONS LLC, NON-INVESTMENT RELATED, 2300 E. KATELLA, SUITE #200, ANAHEIM, CA 92806, PERSONAL AND COMMERCIAL LINES OF INSURANCE, AGENT, SINCE 7/15/2018, DEVOTED TIME IS 10 HOURS A MONTH, SALES. 2. OC INSURANCE SOLUTIONS, NON-INVESTMENT RELATED, ORANGE, CA 92869, DBA, OWNER, SINCE 10/9/2018, DEVOTED TIME IS 10 HOURS A MONTH, SALES OF PERSONAL AND COMMERCIAL LINES OF PROPERTY AND CASUALTY INSURANCE, MEDICARE ADVANTAGE & SUPPLEMENTS, FIXED LIFE INSURANCE. 3. 1ON1 FINANCIAL, NON-INVESTMENT RELATED, 818 N. MOUNTAIN AVE., SUITE #200, UPLAND, CA 91786, DBA FOR MARKETING, FINANCIAL PLANNER, SINCE 6/16/2020. 4. AMERIESTATE LEGAL PLAN, INC., NON-INVESTMENT RELATED, 818 N. MOUNTAIN AVE., SUITE #200, UPLAND, CA 91786, ESTATE PLANNING, FACILITATOR, SINCE 6/16/2020, DEVOTED TIME IS 5 HOURS A MONTH, HELP FACILITATE THE ESTABLISHMENT OF ESTATE PLANNING DOCUMENTS WITH THE ATTORNEY'S THROUGH AMERIESTATE LEGAL PLAN, INC. 5. 1ON1FINANCIAL EDUCATION POSITION: Educator NATURE: A financial platform dedicated to financial education for people of all ages regarding budgeting, investing, retirement, debt, taxation, money management etc. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/06/2024 ADDRESS: 818 N Mountain Ave Ste 200, Upland CA 91786, United States DESCRIPTION: Developing comprehensive online courses to educate users on various financial topics. 6. FINANCIAL FITNESS POSITION: Podcast co-host NATURE: Podcast Channel INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/23/2024 ADDRESS: 818 N Mountain Ave Ste 200, Upland CA 91786, United States DESCRIPTION: -Anything discussed in this podcast is concept only. --Securities or insurance products will not be discussed -Financial Investing 101: Difference between NQ and Q/ Types of accts etc -Difference between Financial Advisors and how they run their business -Trust 101: Terminology -When we bring guest speaker, topics will vary. These episodes will discuss the guest profession -Examples of speakers will include: -Fitness Instructors; Discuss Fitness & Impact on everyday life -Doctors: Discuss Health related Topics -Different Business Owners: Discuss how they built their business and share their expertise.
CRS (Client Relationship Summary) - RIA
Click below to view Kurt Willliam Moseley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kurt Willliam Moseley'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
January 3, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 818 North Mountain Ave. Suite #200, Upland, CA 91786RIA
BD
CRD#: 30833
Upland, CA
Current
November 1, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 818 North Mountain Ave. Suite #200, Upland, CA 91786RIA
BD
CRD#: 30833
Upland, CA
Past
July 22, 2013 - December 31, 2015
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
ORANGE, 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(1/6/2022)
IAR
Arizona(1/25/2022)
RR
California(7/22/2013)
IAR
California(1/3/2017)
RR
Hawaii(10/6/2025)
IAR
Hawaii(10/7/2025)
RR
Idaho(10/30/2024)
IAR
Idaho(10/31/2024)
RR
Montana(8/25/2025)
RR
New York(3/19/2025)
IAR
New York(3/19/2025)
IAR
North Carolina(3/7/2025)
RR
North Dakota(5/6/2025)
RR
South Carolina(9/5/2025)
RR
Texas(7/31/2025)
IAR
Texas(7/31/2025)
RR
Utah(1/9/2025)
RR
Washington(5/22/2025)
IAR
Washington(5/22/2025)
Exams
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.
