KR
Kalyan G. Raman
CENTAURUS FINANCIAL
Bear, DE 19701
Some features on this profile are disabled
CRD#: 831032
KR
Professional summary
Kalyan George Raman, who also goes by K G Kalyanaraman, Krishnaswami G Kalyanaraman, Krishnaswami Ganapathiagraharam Kalyanaraman, K G Raman, Kalyan G Raman, Ram Raman, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Bear, Delaware.
Kalyan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Kalyan has worked at 6 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
K G Kalyanaraman | Krishnaswami G Kalyanaraman | Krishnaswami Ganapathiagraharam Kalyanaraman | K G Raman | Kalyan G Raman | Ram Raman
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.
OWNER, KALYAN G. RAMAN, CLU, CHFC, BEAR DE 19701. NON INVESTMENT RELATED SINCE 1975 AND I SPEND APPROX. 80-100 HOURS PER MONTH ON THIS ACTIVITY. SALE OF LIFE INSURANCE & FIXED ANNUITIES.
TAX PREPARATION, BEAR DE 19701. NON INVESTMENT RELATED SINCE 1978 AND I SPEND APPROX. 40 HOURS PER YEAR ON THIS ACTIVITY.
CRS (Client Relationship Summary) - RIA
Click below to view Kalyan George Raman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kalyan George Raman'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
August 21, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1435 Olmsted Drive, Bear, DE 19701RIA
BD
CRD#: 30833
Bear, DE
Current
August 21, 2018 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1435 Olmsted Drive, Bear, DE 19701RIA
BD
CRD#: 30833
Bear, DE
Past
July 7, 2015 - August 23, 2018
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BEAR, DE
Past
October 1, 1995 - August 23, 2018
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BEAR, DE
Past
July 15, 1991 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
Past
April 16, 1990 - July 19, 1991
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
January 20, 1986 - March 19, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
February 29, 1984 - December 24, 1985
PARLIAMENT SECURITIES CORP.
BD
CRD#: 14263
Past
October 22, 1982 - October 25, 1985
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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
Connecticut(8/21/2018)
IAR
Connecticut(8/22/2018)
RR
Delaware(8/21/2018)
IAR
Delaware(8/21/2018)
RR
District of Columbia(8/21/2018)
IAR
District of Columbia(10/5/2018)
RR
Florida(8/21/2018)
IAR
Florida(8/22/2018)
RR
Georgia(8/22/2018)
IAR
Georgia(8/22/2018)
RR
Illinois(8/22/2018)
IAR
Illinois(8/22/2018)
IAR
Indiana(3/11/2025)
RR
Indiana(3/14/2025)
RR
Kansas(8/21/2018)
IAR
Kansas(9/5/2018)
RR
Maryland(8/21/2018)
IAR
Maryland(8/28/2018)
RR
Massachusetts(10/23/2018)
IAR
Massachusetts(1/17/2019)
RR
New Jersey(8/21/2018)
IAR
New Jersey(9/4/2018)
RR
New York(8/21/2018)
IAR
New York(11/4/2021)
RR
North Carolina(8/21/2018)
IAR
North Carolina(8/24/2018)
RR
Ohio(8/21/2018)
IAR
Ohio(8/24/2018)
RR
Pennsylvania(8/21/2018)
IAR
Pennsylvania(8/22/2018)
RR
South Carolina(8/21/2018)
IAR
South Carolina(9/25/2018)
RR
Texas(8/21/2018)
IAR
Texas(8/22/2018)
RR
Virginia(8/21/2018)
IAR
Virginia(8/22/2018)
RR
West Virginia(8/21/2018)
IAR
West Virginia(8/31/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/13/1976
Registered Representative ExaminationPrincipal/Supervisory 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.
