AN
Anthony Nori
CENTAURUS FINANCIAL
Mckinney, TX 75070
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CRD#: 1238551
AN
Professional summary
Anthony Nori, who also goes by Tony Nori, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Mckinney, Texas.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Anthony has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony Nori
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. 1ON1 FINANCIAL, NON-INVESTMENT RELATED, 4500 W. ELDORADO PKWY., SUITE #1350, MCKINNEY, TX 75070, DBA FOR BRANDING AND MARKETING PURPOSES ONLY, SINCE 4/8/2020. 2. AMERIESTATE LEGAL PLAN, INC., NON-INVESTMENT RELATED, 4500 W. ELDORADO PKWY., MCKINNEY, TX 75070, ESTATE PLANNING, FACILITATOR, SINCE 6/16/2020, DEVOTED TIME IS 5 HOURS A MONTH, HELP FACILITATE THE ESTABLISHMENT OF ESTATE PLANNING DOCUMENTS WITH THE ATTORNEY'S THROUGH AMERIESTATE LEGAL PLAN, INC. 3. BROKERAGE DESIGN & DEVELOPMENT POSITION: Instructor NATURE: Consulting Services. INVESTMENT RELATED: no NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/16/2000 ADDRESS: 2300 E. Katella Avenue, Suite 200, Anaheim CA 92806, United States DESCRIPTION: Instructor / Business Consultant.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Nori's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Nori'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
December 31, 1997 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4500 W. Eldorado Parkway Suite #1350, Mckinney, TX 75070RIA
BD
CRD#: 30833
Mckinney, TX
Current
October 20, 1993 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4500 W. Eldorado Parkway Suite #1350, Mckinney, TX 75070RIA
BD
CRD#: 30833
Mckinney, TX
Past
June 28, 2000 - April 15, 2005
BROKERAGE DESIGN & DEVELOPMENT, INC.
BD
CRD#: 18204
ORANGE, CA
Past
August 8, 1996 - May 18, 1998
CAMDEN FINANCIAL SERVICES
BD
CRD#: 19925
KELLER, TX
Past
December 19, 1984 - December 1, 1995
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
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
Arizona(6/24/2009)
RR
Arkansas(1/2/2009)
RR
California(10/20/1993)
RR
Colorado(10/12/2000)
RR
Florida(1/5/2017)
RR
Georgia(12/18/2020)
RR
Hawaii(2/10/2009)
RR
Idaho(7/14/2014)
RR
Illinois(2/20/2015)
RR
Indiana(8/11/2020)
RR
Michigan(8/10/2001)
RR
Mississippi(3/1/2016)
RR
Missouri(7/31/2019)
RR
New Jersey(2/19/2013)
RR
New York(8/25/2005)
RR
North Carolina(10/9/2015)
RR
Oregon(8/1/2011)
RR
South Carolina(8/21/2019)
RR
Texas(5/5/2010)
IAR
Texas(2/11/2013)
RR
Utah(6/26/1998)
RR
Washington(6/27/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
