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Detailed Report
JAMES CHARLES KIECKHAFER
CRD#: 3162088
IA
Investment Adviser
B
Broker
CENTAURUS FINANCIAL, INC.CRD#: 30833 6201 OAK CANYON DRIVE
SUITE #200
IRVINE, CA 92618
Registration History
20002002200420062008201020122014201620182020202220242026IACENTAURUS FINANCIAL, INC. (CRD# 30833)2004 - Present (20 years)BCENTAURUS FINANCIAL, INC. (CRD# 30833)1999 - Present (26 years)
Disclosure(s)
View By:
7/25/2024
Judgment / Lien
License(s)

State Registrations

B
California 1/21/1999
IA
Nevada 8/26/2021
IA
California 10/25/2004
B
Texas 2/21/2006
B
Idaho 1/4/2021
IA
Texas 1/7/2011
IA
Idaho 1/15/2021
B
Utah 1/2/2018
IA
Indiana 10/17/2023
IA
Utah 2/8/2018
IA
Michigan 12/6/2023
B
Wisconsin 1/11/2000
IA
Minnesota 12/3/2024
IA
Wisconsin 1/5/2011
B
Nevada 8/26/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CENTAURUS FINANCIAL, INC. (CRD#:30833)
6201 OAK CANYON DRIVE SUITE #200, IRVINE, CA 92618
Registered with this firm since 10/25/2004
B
CENTAURUS FINANCIAL, INC. (CRD#:30833)
6201 OAK CANYON DRIVE SUITE #200, IRVINE, CA 92618
Registered with this firm since 1/7/1999
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.