David V. Konsa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Victor Konsa, who also goes by Kaljo Konsa, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1976. David had worked at 8 firms and has passed the Series 63, SIE, Series 6, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2012 - February 3, 2017
CENTAURUS FINANCIAL, INC.
May 6, 2005 - December 31, 2007
PACIFIC WEST FINANCIAL CONSULTANTS INC
December 4, 2001 - February 3, 2017
LUDEMAN CAPITAL MANAGEMENT, INC.
November 5, 2001 - February 13, 2012
PACIFIC WEST SECURITIES, INC.
January 12, 1985 - November 12, 2001
CETERA WEALTH SERVICES, LLC
November 9, 1979 - December 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
May 18, 1978 - July 1, 1982
KMS FINANCIAL SERVICES, INC.
October 14, 1977 - December 20, 1984
PACIFIC WEST SECURITIES, INC.
March 1, 1976 - May 5, 1976
MONEX FINANCIAL CORPORATION
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 40
Date: 2/23/1976
Registered Principal ExaminationCurrent Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
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.
