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Carol Holm

Centaurus Financial, INC.
42 Years of Experience
Blackfoot, ID
18 DisclosuresBrokerSells Insurance
View SEC Summary
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Carol Holm is a ChFC-designated registered investment advisor at Centaurus Financial, INC., based in Blackfoot, ID, with 42 years of industry experience. Carol operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 2 more. Their firm serves 38,049 clients with $7.3B in assets under management.

Centaurus Financial, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
429 advisors
Number of Clients
38,049 clients
Average Client Portfolio
$193K average
Assets Under Management
$7.3B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)

Centaurus Financial's advisors manage client accounts through various programs, charging an annual fee based on the amount invested. Fees are negotiable and can be a flat percentage or tiered, where the rate decreases as the portfolio value increases. Additional charges may include transaction fees, custodial fees, and internal fund fees.

Maximum advisory fees:

  • Alpha, Beta, ABJ, Omega, Delta: 2.25%
  • AA & VL: 1.50%
  • Adviser-Directed: 1.35%
  • FlexUMA: 2.25%

Third-Party Money Managers (TPMMs) charge fees ranging from 1.00% to 3.00%.

View Full SEC Brochure

Location

494 N. Meridian, Blackfoot, ID, 83221

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History

Regulatory History (18)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2014
Settled
Customer Dispute
September 2006
Denied
Customer Dispute
September 2006
Denied
Customer Dispute
August 2006
Settled
Customer Dispute
June 2006
Settled
Customer Dispute
April 2006
Settled
Customer Dispute
February 2006
Denied
Customer Dispute
May 2005
Denied
Customer Dispute
April 2004
Settled
Customer Dispute
January 2004
Settled
Customer Dispute
November 2003
Denied
Customer Dispute
May 2003
Denied
Customer Dispute
December 2002
Denied
Customer Dispute
December 2002
Denied
Customer Dispute
July 2002
Settled
Customer Dispute
October 2001
Settled
Customer Dispute
September 2001
Denied
Customer Dispute
March 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Carol is an owner/partner in C&C Books LLC, dedicating a few hours per week to selling and promoting books. She also sells non-variable life insurance and fixed annuities, spending minimal time on this activity, and is the author of books, spending about a quarter of her time writing and editing.

Employment History
Current Registrations
Centaurus Financial, INC.
January 2006 - Present · 20 yrs 8 mos
Centaurus Financial, INC.Broker
January 2006 - Present · 20 yrs 8 mos
Previous Registrations
Princor Financial Services Corporation
September 2004 - January 2006 · 1 yr 4 mos
Princor Financial Services CorporationBroker
September 2004 - January 2006 · 1 yr 4 mos
Equity Services, INC.Broker
October 2002 - July 2004 · 1 yr 9 mos
Eagle Strategies CORP
April 2001 - October 2002 · 1 yr 6 mos
Nylife Securities INC.Broker
September 1983 - October 2002 · 19 yrs 1 mo
State Registrations6 states
AZCAIDTXWAWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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