MM
Mark J. Menne
CENTAURUS FINANCIAL
SIMI VALLEY, CA 93065
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CRD#: 5878556
MM
Professional summary
Mark Joseph Menne, who also goes by Mark Joseph Henne, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Simi Valley, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Mark has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Joseph Henne
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.
CAVALIER ASSOCIATES, NON-INVESTMENT RELATED, 2801 TOWNSGATE ROAD, WESTLAKE VILLAGE, CA 91361, SALES OF FIXED LIFE INSURANCE, TERM LIFE INSURANCE, LONG TERM CARE INSURANCE AND DISABILITY INSURANCE, AGENT, SINCE 10/1/2017, DEVOTED TIME IS 20 HOURS A MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Joseph Menne's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Joseph Menne'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
September 21, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 40 W. Cochran Street Suite 110, Simi Valley, CA 93065RIA
BD
CRD#: 30833
SIMI VALLEY, CA
Current
April 25, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 40 W. Cochran Street Suite 110, Simi Valley, CA 93065RIA
BD
CRD#: 30833
SIMI VALLEY, CA
Past
January 17, 2012 - April 13, 2012
COLORADO FINANCIAL SERVICE CORPORATION
BD
CRD#: 104343
CENTENNIAL, CO
Past
January 17, 2011 - December 23, 2011
LIGHTHOUSE CAPITAL CORPORATION
BD
CRD#: 41812
MONTEREY, 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
Arizona(11/5/2024)
RR
California(4/25/2012)
IAR
California(9/21/2012)
IAR
Colorado(2/27/2024)
RR
Florida(4/18/2022)
IAR
Florida(4/19/2022)
RR
Georgia(6/30/2022)
IAR
Georgia(7/6/2022)
RR
Idaho(1/18/2021)
IAR
Montana(6/2/2022)
IAR
Nevada(4/20/2020)
RR
Nevada(10/6/2021)
IAR
North Dakota(5/17/2021)
IAR
Oregon(4/3/2020)
RR
Texas(2/19/2019)
IAR
Texas(9/28/2021)
RR
Utah(6/21/2013)
RR
Washington(1/3/2014)
Exams
State Security Law Exam
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.
