PS
Patrick R. Shields
CENTAURUS FINANCIAL
Lake Charles, LA 70605
Some features on this profile are disabled
CRD#: 5916044
PS
Professional summary
Patrick Rheagan Shields, who also goes by Rhea Shields, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Lake Charles, Louisiana.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Patrick has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rhea Shields
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. S5 FARMS LLC. POSITION: Managing Member. NATURE: Raising and selling of cattle - mostly as a hobby/2nd business for outside enjoyment. INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2015 ADDRESS: 2383 Denison Rd, Iowa LA 70647, united States DESCRIPTION: Basic maintenance of a cattle operation of a hobby farmer, grass mowing, cattle moving, etc. 2. FIRST UNITED METHODIST CHURCH OF IOWA, LA POSITION: Finance Committee Chairman NATURE: Administrative Board for the Church, INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 301 S. Kinney Ave, Iowa LA 70647, United States DESCRIPTION: Assist in creating annual budget and submitting documents for annual apportionments. Meet bi-monthly for review and future planning. 3. IOWA RABBIT FESTIVAL, INC POSITION: Vice President NATURE: Non-profit 501c3 organization that operates an annual festival to raise money for non-profit clubs, religious organizations, Boy Scouts, and scholarships for graduating seniors - all from the Town of Iowa, LA. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 07/15/2008 ADDRESS: PO Box 665, Iowa LA 70647, United States DESCRIPTION: Assist with operating an annual festival, coordinating materials needed, insurance for the event, setup and anything else that may need to be done. 4. TERRELL AND ASSOCIATES, LLC POSITION: Insurance Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 06/01/2010 ADDRESS: 625 W. College St., Lake Charles LA 70605, United States DESCRIPTION: Investment, Retirement, Life Insurance, Disability, and Annuities
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Rheagan Shields's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Rheagan Shields'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
April 1, 2021 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 625 W. College Street, Lake Charles, LA 70605RIA
BD
CRD#: 30833
Lake Charles, LA
Current
April 1, 2021 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 625 W. College Street, Lake Charles, LA 70605RIA
BD
CRD#: 30833
Lake Charles, LA
Past
March 1, 2019 - April 6, 2021
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
LAKE CHARLES, LA
Past
March 1, 2019 - April 6, 2021
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
LAKE CHARLES, LA
Past
May 8, 2013 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
LAKE CHARLES, LA
Past
May 8, 2013 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
LAKE CHARLES, LA
Past
November 15, 2012 - May 8, 2013
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
LAKE CHARLES, LA
Past
February 29, 2012 - May 8, 2013
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
LAKE CHARLES, LA
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
Louisiana(4/1/2021)
IAR
Louisiana(4/1/2021)
RR
Minnesota(4/1/2021)
IAR
Minnesota(4/6/2021)
IAR
North Carolina(4/5/2021)
RR
North Carolina(4/13/2021)
RR
Oklahoma(6/10/2025)
IAR
Oklahoma(6/10/2025)
RR
Texas(4/1/2021)
IAR
Texas(4/5/2021)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Lake Charles, LA 70605TRUST BUT VERIFY
Monitor Patrick Shields
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
