MM
Mary M. Mick
CENTAURUS FINANCIAL
Williamsburg, VA 23185-6334
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CRD#: 6199470
MM
Professional summary
Mary M Mick, who also goes by Mary Michelle Mick, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Williamsburg, Virginia.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Mary 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
Mary Michelle Mick
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. BOARD MEMBER, HELP & EMERGENCY RESPONSE LLC, P.O. BOX 2187, PORTSMOUTH, VA 23702. NON INVESTMENT RELATED SINCE 01/2016 AND I SPEND APPROX. 5 HOURS PER MONTH ON THIS ACTIVITY. I WORK ON THE BOARD TO CREATE AND IMPLEMENT THE STRATEGIC PLAN AS WELL AS FUND RAISE FOR THE SHELTER WHICH IS A NON PROFIT. 2. AGENT, CHOICE INSURANCE, 4664 SOUTH BLVD., VIRGINIA BEACH, VA 23452. NON INVESTMENT RELATED AND IS SPEND APPROX. 5 HOURS PER MONTH ON THIS ACOUNT. I WORK WITH AGENTS THERE TO PLACE GROUP HEALTH, DENTAL, VISION AND LIFE INSURANCE FOR EMPLOYEE BENEFITS. 3. 4790 MARLWOOD WAY, 23462 POSITION: Owner NATURE: Rental property, owner, manager INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2008 ADDRESS: 4790 Marlwood Way, Virginia Beach VA 23462, United States DESCRIPTION: Owner, manager of a rental property 4. ROVER POSITION: Owner NATURE: Board dogs at my home, walk dogs, and/or pet sit at their house. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2024 ADDRESS: 1537 Lakeview Drive, Virginia Beach VA 23455, United States DESCRIPTION: Board dogs at my home, walk dogs, and / or pet sit at their house.
CRS (Client Relationship Summary) - RIA
Click below to view Mary M Mick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mary M Mick'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 23, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 211 Mclaws Circle Suite #2, Williamsburg, VA 23185-6334RIA
BD
CRD#: 30833
Williamsburg, VA
Current
February 23, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 211 Mclaws Circle Suite #2, Williamsburg, VA 23185-6334RIA
BD
CRD#: 30833
Williamsburg, VA
Past
October 22, 2015 - February 9, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
VIRGINIA BEACH, VA
Past
October 7, 2015 - February 9, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
VIRGINIA BEACH, VA
Past
February 9, 2015 - September 11, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
VIRGINIA BCH, VA
Past
February 24, 2014 - September 11, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
VIRGINIA BCH, VA
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
California(2/23/2022)
RR
Connecticut(2/23/2022)
RR
District of Columbia(2/23/2022)
RR
Florida(2/23/2022)
IAR
Florida(2/24/2022)
RR
Georgia(1/18/2023)
RR
Illinois(2/23/2022)
RR
Kansas(2/23/2022)
IAR
Kansas(10/26/2022)
RR
Maryland(2/23/2022)
IAR
Maryland(11/30/2023)
RR
New York(2/23/2022)
RR
North Carolina(2/23/2022)
IAR
North Carolina(10/19/2022)
RR
Ohio(7/14/2022)
IAR
Pennsylvania(10/6/2025)
RR
South Carolina(2/23/2022)
IAR
South Carolina(10/20/2022)
RR
Tennessee(1/9/2023)
RR
Texas(2/23/2022)
IAR
Texas(4/24/2023)
RR
Virginia(2/23/2022)
IAR
Virginia(2/23/2022)
RR
Washington(5/12/2023)
IAR
Wisconsin(1/3/2025)
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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Williamsburg, VA 23185-6334TRUST BUT VERIFY
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