Lonna K. Heaton
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.
Lonna Kaye Heaton, who also goes by Lonna Kaye Hopkins, was a registered financial professional .
Lonna is a previously registered financial professional and started their career in finance in 1977. Lonna had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2006 - August 1, 2016
CENTAURUS FINANCIAL, INC.
May 22, 2006 - August 1, 2016
CENTAURUS FINANCIAL, INC.
April 7, 2005 - May 19, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
November 9, 2004 - May 19, 2006
IDS LIFE INSURANCE COMPANY
November 9, 2004 - May 19, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 1999 - November 5, 2004
PIPER SANDLER & CO.
December 16, 1993 - June 14, 1999
WAMU INVESTMENTS, INC.
March 20, 1993 - December 10, 1993
UBS FINANCIAL SERVICES INC.
November 13, 1992 - March 2, 1993
WELLS FARGO CLEARING SERVICES, LLC
June 29, 1988 - December 8, 1990
DAIN RAUSCHER INCORPORATED
February 1, 1988 - July 12, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 8, 1985 - February 4, 1988
BOETTCHER & COMPANY, INC.
October 28, 1983 - January 31, 1985
PRUDENTIAL EQUITY GROUP, LLC
August 28, 1980 - November 17, 1983
UBS FINANCIAL SERVICES INC.
May 25, 1979 - March 7, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 1977 - May 9, 1979
FOSTER & MARSHALL INC.
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
Current 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.
