Kendrick G. Smith
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.
Kendrick Gerand Smith, who also goes by Ken Smith, was a registered financial professional .
Kendrick is a previously registered financial professional and started their career in finance in 1977. Kendrick had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2014 - December 31, 2019
CENTAURUS FINANCIAL, INC.
August 23, 2010 - July 15, 2014
INDEPENDENT FINANCIAL GROUP, LLC
November 2, 2009 - July 30, 2010
NATIONAL PLANNING CORPORATION
October 2, 2006 - November 3, 2009
MAIN STREET SECURITIES, LLC
January 29, 2003 - October 6, 2006
SECURITIES AMERICA ADVISORS, INC.
July 17, 1998 - October 6, 2006
SECURITIES AMERICA, INC.
January 2, 1991 - July 22, 1998
IFG NETWORK SECURITIES, INC.
June 9, 1989 - December 31, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 1, 1985 - June 14, 1989
FSC SECURITIES CORPORATION
November 22, 1977 - October 15, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
November 22, 1977 - October 15, 1985
IDS LIFE INSURANCE COMPANY
November 22, 1977 - October 15, 1985
AMERICAN EXPRESS 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 1
Date: 11/14/1977
Registered Representative 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.
