CK
Cynthia L. Kordys
CENTAURUS FINANCIAL
Swanzey, NH 03446
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CRD#: 5794206
CK
Professional summary
Cynthia Louise Kordys, who also goes by Cynthia Kordys Dripchak, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Swanzey, New Hampshire.
Cynthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Cynthia has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cynthia Kordys Dripchak
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. NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/24/2014 ADDRESS: 235 Eaton Road, Swanzey NH 03446, United States DESCRIPTION: Notarize signature on various documents 2. LIFE, HEALTH AND ANNUITY LICENSE AGENT POSITION: Agent NATURE: Sale of standard fixed annuities INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2011 ADDRESS: 235 Eaton Road, Swanzey NH 03446, United States DESCRIPTION: Sales and marketing of standard fixed annuities; I spend 5 hours or less per month on this activity. 3. TOWN OF SWANZEY POSITION: Trustee of Trust Funds NATURE: Town Trustee of Trust Funds for a 2-year term ending in March 2027 INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2025 ADDRESS: 620 Old Homestead Highway, Swanzey NH 03446, United States DESCRIPTION: Attend quarterly meetings and 4 or 5 procedural meetings; review the 3 Town Trust Funds and the investments in each fund; review the investment policy and investment watch list; check signing may be required
CRS (Client Relationship Summary) - RIA
Click below to view Cynthia Louise Kordys's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cynthia Louise Kordys'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
July 24, 2013 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 235 Eaton Road, Swanzey, NH 03446RIA
BD
CRD#: 30833
Swanzey, NH
Current
July 24, 2013 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 235 Eaton Road, Swanzey, NH 03446RIA
BD
CRD#: 30833
Swanzey, NH
Past
September 13, 2010 - February 8, 2013
MORGAN STANLEY
RIA
CRD#: 149777
LEBANON, NH
Past
July 28, 2010 - February 8, 2013
MORGAN STANLEY
BD
CRD#: 149777
LEBANON, NH
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
Connecticut(8/20/2013)
IAR
Connecticut(1/4/2023)
RR
Massachusetts(2/26/2015)
RR
New Hampshire(7/24/2013)
IAR
New Hampshire(7/24/2013)
RR
Ohio(10/14/2019)
IAR
Ohio(1/4/2023)
RR
Vermont(8/20/2013)
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.
