Nicholas J. Pilger
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.
Nicholas J Pilger was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1982. Nicholas had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2007 - December 1, 2015
CENTAURUS FINANCIAL, INC.
July 18, 2007 - December 1, 2015
CENTAURUS FINANCIAL, INC.
June 27, 2007 - July 20, 2007
WEDBUSH SECURITIES INC.
June 27, 2007 - July 20, 2007
WEDBUSH SECURITIES INC.
June 6, 2007 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
July 19, 2002 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
April 26, 2000 - July 23, 2002
CULLUM & BURKS SECURITIES, INC.
September 17, 1997 - April 8, 1998
MACARTHUR STRATEGIES, INC.
May 4, 1995 - November 7, 1996
BROOKSTREET SECURITIES CORPORATION
March 17, 1995 - May 15, 1995
CAMDEN FINANCIAL SERVICES
March 25, 1994 - March 13, 1995
ROBERT SCOTT SECURITIES, INC.
February 28, 1991 - December 22, 1993
CION SECURITIES, LLC
May 22, 1987 - April 16, 1990
GRANADA FINANCIAL SERVICES, INC.
August 18, 1986 - April 21, 1987
PREFERRED SECURITIES CORPORATION
August 6, 1985 - June 10, 1986
HALL SECURITIES CORPORATION
April 23, 1982 - July 19, 1985
MERRICO INVESTMENTS 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
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 | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE 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.
