GG
Gary Goldberg
CENTAURUS FINANCIAL
O'fallon, IL 62269
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CRD#: 2037748
GG
Professional summary
Gary Goldberg is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in O'fallon, Illinois.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Gary has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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. OWNER OF RENTAL PROPERTY, O'FALLON, IL 62269, NON INVESTMENT RELATED, OWNER SINCE 1/1980 AND I SPEND APPROX. 2 HOURS PER MONTH ON THIS ACTIVITY, RENTAL PROPERTY MANAGEMENT. 2. COLLEGE, FINANCIAL & TAX STRATEGIES, INC., NON-INVESTMENT RELATED, 4 EAGLE CENTER, SUITE #3, O'FALLON, IL 62269, COLLEGE FINANCIAL AID ADVISE, PRESIDENT, SINCE 1/1/1992, DEVOTED TIME IS 5 HOURS A MONTH. 3. FINANCIAL & TAX STRATEGIES, INC. (F&TS, INC.), NON-INVESTMENT RELATED,4 EAGLE CENTER, SUITE #3, O'FALLON, IL 62269 , DBA, PRESIDENT, SINCE 3/1/1990, DEVOTED TIME IS 20 HOURS A MONTH. 4. REDWOOD TAX SPECIALISTS POSITION: Managing Director NATURE: Specialized tax advise & preparation. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 4 Eagle Center, Suite 3, O'Fallon IL 62269, United States DESCRIPTION: Specialized tax preparation and advise. 5. LAKEVIEW HOMEOWNERS ASSOCIATION POSITION: Board Director NATURE: Lake Homeowners Association INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2005 ADDRESS: 2 Fox Run, O'Fallon IL 62269, United States DESCRIPTION: Board Director
CRS (Client Relationship Summary) - RIA
Click below to view Gary Goldberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gary Goldberg'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 11, 2001 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4 Eagle Center Suite #3, O'fallon, IL 62269Office #2: 2055 Craigshire Dr Ste 410, St. Louis, MO 63146RIA
BD
CRD#: 30833
O'fallon, IL
Current
November 19, 1999 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4 Eagle Center Suite #3, O'fallon, IL 62269Office #2: 2055 Craigshire Dr Ste 410, St. Louis, MO 63146RIA
BD
CRD#: 30833
O'fallon, IL
Past
March 27, 1998 - November 23, 1999
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
June 5, 1997 - December 31, 2006
FINANCIAL & TAX STRATEGIES, INC.
RIA
CRD#: 118792
ST. LOUIS, MO
Past
January 16, 1995 - April 7, 1998
CARDINAL INVESTMENTS, INC.
BD
CRD#: 36838
COLUMBIA, IL
Past
November 12, 1991 - January 24, 1995
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
April 5, 1991 - November 13, 1991
PLANNED INVESTMENTS INC.
BD
CRD#: 5066
ATLANTA, GA
Past
March 11, 1991 - April 12, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(8/4/2015)
IAR
Colorado(1/4/2011)
RR
Colorado(7/17/2015)
RR
Florida(11/1/2019)
RR
Illinois(11/19/1999)
IAR
Illinois(1/4/2011)
RR
Missouri(11/19/1999)
IAR
Missouri(6/11/2001)
RR
Tennessee(4/19/2023)
RR
Texas(8/9/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833O'fallon, IL 62269TRUST BUT VERIFY
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