David L. Klein

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CRD#: 2034286

Professional summary

David Louis Klein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, David had worked at 9 firms, which includes CENTAURUS FINANCIAL INC., VSR FINANCIAL SERVICES INC., GUNNALLEN FINANCIAL INC, J. ALDEN ASSOCIATES INC., KOVACK SECURITIES INC., WALNUT STREET SECURITIES INC., MAIN STREET MANAGEMENT COMPANY, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

Question & Answer

Are you a "fiduciary"?

Aliases

David L Klein

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 14, 2006 - July 8, 2009

CENTAURUS FINANCIAL, INC.

CRD#: 30833

OKEECHOBEE, FL

Past

November 1, 2005 - August 14, 2006

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

PALM BEACH GARDENS, FL

Past

January 14, 2003 - November 2, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

December 14, 2001 - February 5, 2003

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

WAYNE, PA

Past

July 2, 2001 - November 2, 2001

KOVACK SECURITIES INC.

CRD#: 44848

FT. LAUDERDALE, FL

Past

September 22, 1998 - June 29, 2001

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

June 4, 1992 - October 7, 1998

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

February 20, 1990 - June 10, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 20, 1990 - June 10, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/8/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/1/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/13/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/1993

General Securities Principal Examination

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

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

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Firm Stability Insights

David L. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VSR FINANCIAL SERVICES, INC.

GUNNALLEN FINANCIAL, INC

J. ALDEN ASSOCIATES, INC.

KOVACK SECURITIES INC.

WALNUT STREET SECURITIES, INC.

MAIN STREET MANAGEMENT COMPANY

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/8/1990

Series 7

Date: 9/1/1993

Series 6

Date: 2/13/1990

Series 24

Date: 12/15/1993

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

TRUST BUT VERIFY

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