MF
Michael E. Fassi
CENTAURUS FINANCIAL
Windsor, CO
Some features on this profile are disabled
CRD#: 828921
MF
Professional summary
Michael Emil Fassi is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Windsor, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Michael has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. FINANCIAL EDUCATORS NETWORK, NON-INVESTMENT RELATED, 5865 TYRONE RD., RENO, NV 89502, TEACHING RETIREMENT CLASSES, 2 THREE HOUR CLASSES, INSTRUCTOR, SINCE 10/12/2012, DEVOTED TIME IS 6 HRS A MONTH. 2. C&T ASSET PROTECTION GROUP INC DBA FASSI FINANCIAL NETWORK, SINCE 4/30/2012, P.O. BOX 9, WINDSOR, CO 80550, MARKETING ASSET PROTECTION TRUSTS TO BUSINESS OWNERS, DEVOTED TIME IS 10 HRS A MONTH, NON-INVESTMENT RELATED. 3. CIVIL AIR PATROL POSITION: Squadron Finance Officer NATURE: Civil Air Patrol is the auxiliary of the United States Air Force INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2023 ADDRESS: PO Box 270885, Fort Collins CO 80527-0885, United States DESCRIPTION: Take in and deposit dues into bank account, pay squadron bills, receive and process grant request with the finance committee and send quarterly and annual reports to the Wing. 4. CIVIL AIR PATROL POSITION: Group Commander NATURE: Civil Air Patrol is the auxiliary of the United States Air Force INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2024 ADDRESS: Colorado Wing HQ, 135 Dover St. Bldg. 350 , Suite 2025, Peterson SFB, CO 80914-2309, United States DESCRIPTION: Group Commander-- (Management) responsible for 300 members, 5 aircraft, and 7 vehicles
CRS (Client Relationship Summary) - RIA
Click below to view Michael Emil Fassi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Emil Fassi'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
June 8, 2006 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Windsor, CO
Current
June 12, 2006 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Windsor, CO
Past
August 5, 2005 - December 13, 2005
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
FORT COLLINS, CO
Past
August 3, 2005 - December 13, 2005
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
FORT COLLINS, CO
Past
January 21, 2004 - August 3, 2005
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
January 30, 2001 - December 31, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past
March 29, 1999 - January 5, 2001
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
October 7, 1998 - March 9, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
December 7, 1995 - July 30, 1997
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
August 25, 1993 - November 7, 1995
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
October 6, 1992 - August 19, 1993
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 27, 1992 - October 9, 1992
F & G SECURITIES, INC.
BD
CRD#: 16364
Past
June 6, 1989 - June 9, 1992
USF&G INVESTMENT SERVICES, INC.
BD
CRD#: 18949
Past
April 16, 1986 - August 1, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
Past
May 21, 1984 - April 19, 1986
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
December 28, 1981 - April 4, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
February 22, 1980 - October 15, 1993
M. E. METZLER ORGANIZATION, INC.
BD
CRD#: 7418
Past
September 20, 1978 - May 15, 1986
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
Past
March 16, 1978 - September 30, 1978
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
Past
October 21, 1976 - April 13, 1978
I.M. SIMON & CO., INC.
BD
CRD#: 418
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(1/5/2016)
IAR
California(1/5/2016)
IAR
Colorado(6/8/2006)
RR
Colorado(6/12/2006)
RR
Florida(3/15/2010)
IAR
Florida(1/4/2011)
RR
Kansas(2/24/2021)
RR
Louisiana(8/28/2018)
IAR
Louisiana(8/28/2018)
IAR
Missouri(5/27/2015)
RR
Nevada(8/24/2012)
IAR
Nevada(8/28/2018)
RR
New Mexico(2/24/2014)
IAR
Ohio(9/29/2014)
RR
South Dakota(10/5/2023)
IAR
South Dakota(10/5/2023)
IAR
Texas(5/24/2011)
RR
Washington(8/16/2012)
IAR
Washington(9/18/2018)
RR
Wyoming(6/12/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/24/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory 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.
