SS
Stuart J. Spivak
CENTAURUS FINANCIAL
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 1883651
SS
Professional summary
Stuart Jay Spivak is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Scottsdale, Arizona.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Stuart has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. LAYR, NON-INVESTMENT RELATED, 28 W. 27TH STREET, 2ND FLOOR, NEW YORK, NEW YORK 10001, SECURITY WINDOW FILM AND HOME MONITORING SYSTEMS, SILENT PARTNER, SINCE 8/13/2015, DEVOTED TIME IS 1 HR A MONTH, NO DUTIES. 2. TREASURE, INC., NON-INVESTMENT RELATED, 100 SPRINGDALE ROAD, A3-279, CHERRY HILL, NJ 08003, TOY COMPANY, SILENT PARTNER WITH SMALL OWNERSHIP INTEREST, SINCE 8/28/2015, DEVOTED TIME IS 1 HR A MONTH, NO DUTIES. 3. STUART J. SPIVAK DBA THE SPIVAK FINANCIAL GROUP, SOLE PROPRIETOR, SINCE 6/1/1986, AT 8160 E. BUTHERUS DRIVE, SUITE 5, SCOTTSDALE, AZ 85260, SALE OF FIXED INSURANCE AND /OR FIXED ANNUITIES, INCLUDING EMPLOYEE BENEFIT INSURANCE PLANS (GROUP HEALTH INSURANCE, GROUP DENTAL, GROUP LIFE, & DISABILITY AND 401K PLANS), DEVOTED TIME IS 20 HR A MONTH, NON-INVESTMENT RELATED. 4. MUTUAL TRUST LIFE INS. CO. & LAFAYETTE LIFE INS. CO., INVESTEMENT RELATED, 8753 E. BELL ROAD, #101, SCOTTSDALE, AZ 85260, OFFERING PERMANENT LIFE INSURANCE DESIGNED FOR YOUR FAMILY BANK PROGRAM, AGENT/OWNER, SINCE 6/20/2020, DEVOTED TIME IS 35 HOURS A MONTH. 5. 72(t) PROFESSOR/SPIVAK FINANCIAL GROUP, NON-INVESTMENT RELATED, 8753 E. BELL ROAD, #101, SCOTTSDALE, AZ 85260, ONLINE 72(t) SEPP EDUCATIONAL CLASS, OWNER, SINCE 2/1/2022, DEVOTED TIME IS 10 HOURS A MONTH, COMPLIMENTARY CALL AFTER STUDENT COMPLETES COURSE.
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Jay Spivak's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stuart Jay Spivak'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
June 16, 2008 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8753 E. Bell Road Suite #101, Scottsdale, AZ 85260Office #2: Two Bala Plaza Suite #300, Bala Cynwyd, PA 19004RIA
BD
CRD#: 30833
Scottsdale, AZ
Current
May 29, 2008 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 8753 E. Bell Road Suite #101, Scottsdale, AZ 85260Office #2: Two Bala Plaza Suite #300, Bala Cynwyd, PA 19004RIA
BD
CRD#: 30833
Scottsdale, AZ
Past
January 11, 2008 - May 29, 2008
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SCOTTSDALE, AZ
Past
January 11, 2008 - May 29, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SCOTTSDALE, AZ
Past
September 18, 2007 - January 3, 2008
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BALA CYNWYDP, PA
Past
June 28, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
SCOTTSDALE, AZ
Past
June 28, 2004 - January 3, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BALA CYNWYDP, PA
Past
March 15, 1993 - June 10, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
March 6, 1989 - March 15, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
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
Alabama(3/20/2013)
IAR
Alabama(8/13/2014)
RR
Arizona(5/29/2008)
IAR
Arizona(6/16/2008)
RR
Arkansas(6/27/2014)
RR
California(5/29/2008)
IAR
California(7/9/2012)
RR
Colorado(5/29/2008)
IAR
Colorado(1/3/2020)
RR
Connecticut(5/29/2008)
IAR
Connecticut(1/19/2011)
RR
Delaware(4/29/2010)
IAR
Delaware(7/3/2012)
RR
Florida(11/1/2010)
IAR
Florida(8/23/2018)
RR
Georgia(3/14/2014)
IAR
Georgia(11/25/2019)
RR
Hawaii(8/8/2016)
IAR
Hawaii(8/26/2021)
RR
Idaho(3/14/2014)
IAR
Idaho(2/16/2024)
RR
Illinois(6/22/2010)
IAR
Illinois(4/24/2012)
RR
Indiana(1/22/2014)
RR
Iowa(2/7/2014)
IAR
Iowa(12/10/2018)
RR
Kansas(3/16/2009)
IAR
Kansas(2/15/2017)
RR
Kentucky(10/5/2018)
IAR
Kentucky(10/5/2018)
RR
Louisiana(7/28/2010)
IAR
Louisiana(1/7/2022)
RR
Maine(5/12/2014)
RR
Maryland(1/31/2011)
IAR
Maryland(6/11/2018)
RR
Michigan(3/14/2014)
IAR
Michigan(2/7/2024)
RR
Minnesota(3/18/2014)
IAR
Minnesota(12/24/2019)
RR
Missouri(3/14/2014)
RR
Montana(3/14/2014)
IAR
Montana(2/15/2024)
RR
Nevada(9/13/2011)
IAR
Nevada(11/3/2025)
RR
New Jersey(5/29/2008)
IAR
New Jersey(1/5/2011)
RR
New Mexico(11/3/2017)
IAR
New Mexico(11/3/2017)
RR
New York(5/29/2008)
IAR
New York(11/1/2021)
RR
North Carolina(5/29/2008)
IAR
North Carolina(10/26/2018)
RR
Ohio(3/12/2014)
RR
Oklahoma(6/17/2008)
IAR
Oklahoma(1/16/2019)
RR
Oregon(3/19/2014)
IAR
Oregon(8/6/2022)
RR
Pennsylvania(5/29/2008)
IAR
Pennsylvania(1/6/2011)
IAR
Rhode Island(3/20/2025)
RR
South Carolina(3/21/2014)
IAR
South Carolina(6/12/2015)
RR
South Dakota(3/17/2014)
RR
Tennessee(7/29/2024)
RR
Texas(4/1/2014)
IAR
Texas(5/16/2018)
RR
Utah(4/23/2014)
RR
Vermont(6/27/2014)
RR
Virginia(3/14/2014)
IAR
Virginia(3/13/2018)
RR
Washington(6/20/2008)
IAR
Washington(1/5/2011)
RR
West Virginia(3/19/2014)
RR
Wisconsin(8/31/2010)
IAR
Wisconsin(8/18/2011)
RR
Wyoming(3/18/2014)
Exams
State Security Law Exam
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.
