EM
Ernest M. Martinelli
CENTAURUS FINANCIAL
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 1030123
EM
Professional summary
Ernest M Martinelli, who also goes by Ernest Michael Martinelli, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Conshohocken, Pennsylvania.
Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Ernest has worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ernest Michael Martinelli
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. OWNER, ERNEST M. MARTINELLI, 1101 FAYETTE STREET, CONSHOHOCKEN, PA 19428. NON INVESTMENT RELATED SINCE 06/1997 AND I SPEND APPROX. ONE HOUR PER MONTH ON THIS ACTIVITY. REAL ESTATE RENTAL OF OFFICES. I MAKE SURE OFFICE SPACE IS IN GOOD WORKING ORDER. 2. OWNER, ERNEST M. MARTINELLI, 1101 FAYETTE STREET, CONSHOHOCKEN, PA 19428. NON INVESTMENT RELATED SINCE 04/1981 AND I SPEND APPROX. 23-30 HOURS PER MONTH ON THIS ACTIVITY. SALE & SERVICE OF GROUP BENEFIT PLANS. BEING ACTIVE IN THE EMPLOYEE BENEFIT AREA HELPS SUPPLEMENT OUR FINANCIAL SERVICES BUSINESS BY MEETING EMPLOYEES & HELPING THEM WITH THEIR FINANCIAL MATTER. 3. OWNER, MARTINELLI FINANCIAL SERVICES, 1101 FAYETTE STREET, CONSHOHOCKEN, PA 19428. INVESTMENT RELATED & I SPEND APPROX. 50+ HOURS PER MONTH ON THIS ACTIVITY, THIS IS MY DBA. 4. CGM RISK MANAGEMENT, NON-INVESTMENT RELATED, 1101 FAYETTE ST., CONSHOHOCKEN, PA 19428, PROPERTY AND CASUALTY INSURANCE, ADVISOR, SINCE 7/1/2021, DEVOTED TIME IS 4 HOURS A MONTH, ADVISE CLIENTS ON PROPERTY AND CASUALTY INSURANCE. 5. CONSHOHOCKEN ECONOMIC DEVELOPMENT CORP POSITION: Board Member NATURE: see above INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015 ADDRESS: 400 Fayette Street, Connshohocken PA 19428, United States DESCRIPTION: I have a volunteer position on the above Board in which the county provides funds to invest in local businesses. A business will appear in front of this 12 person board and request a low interest rate loan. We evaluate the business and vote if we think if it's worthy of a loan. I probably don't spend more than 4 -6 hours a year on this Board. It is not a very active position.
CRS (Client Relationship Summary) - RIA
Click below to view Ernest M Martinelli's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ernest M Martinelli's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 4, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1101 Fayette Street, Conshohocken, PA 19428RIA
BD
CRD#: 30833
Conshohocken, PA
Current
April 4, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1101 Fayette Street, Conshohocken, PA 19428RIA
BD
CRD#: 30833
Conshohocken, PA
Past
March 25, 2017 - April 6, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CONSHOHOCKEN, PA
Past
March 25, 2017 - April 6, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CONSHOHOCKEN, PA
Past
January 24, 2008 - February 19, 2008
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CONSHOHOCKEN, PA
Past
January 24, 2008 - February 19, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
September 6, 2007 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
CONSHOHOCKEN, PA
Past
June 17, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
MOUNT LAUREL, NJ
Past
June 17, 2004 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CONSHOHOCKEN, PA
Past
March 15, 1993 - June 17, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
November 6, 1987 - March 15, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
December 4, 1985 - March 17, 1987
INMARK SECURITIES CORP.
BD
CRD#: 10670
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/14/2022)
RR
New Jersey(4/4/2017)
IAR
New Jersey(5/23/2017)
RR
Pennsylvania(4/4/2017)
IAR
Pennsylvania(4/4/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2300 E. Katella Avenue Suite 200, Anaheim, CA 92806
Mailing Address
2300 E. Katella Avenue Suite #200, Anaheim, CA 92806
Phone number
(714) 456-1790
Established
California since 08/27/1992
Firm type
Corporation
Fiscal year end
April
Firm Size
Large
# of Employees
580
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.
