MA
Marco B. Azizi
CENTAURUS FINANCIAL
San Jose, CA 95113
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CRD#: 2154719
MA
Professional summary
Marco Bartolo Azizi, who also goes by Moe Azizi, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in San Jose, California.
Marco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Marco has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Moe Azizi
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.
MASSMUTUAL PACIFIC, NON-INVESTMENT RELATED, 1255 TREAT BLVD., SUITE #400, WALNUT CREEK, CA 94597, SELLING WHOLE LIFE INSURANCE, BROKER, SINCE 12/1/2017, DEVOTED TIME IS 5 HOURS A MONTH, EVALUATE CLIENTS NEEDS FOR LIFE INSURANCE. ESTATE PLANNING TEAM, NON-INVESTMENT RELATED, 45110 CLUB DRIVE, INDIAN WELLS, CA 92210, DEFERRED SALES TRUST, MEMBER, SINCE 8/9/2016, DEVOTED TIME IS 10 HRS A MONTH, EXPLAINING DEFERRED SALES TRUST. BRANCH MANAGER, GLOBAL CAPITAL WEALTH MANAGEMENT; 1048 LINCOLN AVENUE, SAN JOSE, CA 95125. NON INVESTMENT RELATED SINCE 07/01/2016. DBA FOR BRANDING PURPOSES ONLY.
CRS (Client Relationship Summary) - RIA
Click below to view Marco Bartolo Azizi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marco Bartolo Azizi'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
July 20, 2016 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 99 S. Almaden Blvd. Suite 600, San Jose, CA 95113RIA
BD
CRD#: 30833
San Jose, CA
Current
July 20, 2016 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 99 S. Almaden Blvd. Suite 600, San Jose, CA 95113RIA
BD
CRD#: 30833
San Jose, CA
Past
October 19, 2015 - July 20, 2016
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
San Jose, CA
Past
September 10, 2015 - July 20, 2016
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SAN JOSE, CA
Past
October 24, 2007 - November 13, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
SAN JOSE, CA
Past
March 26, 2002 - December 4, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
SAN JOSE, CA
Past
January 25, 1993 - March 25, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
July 7, 1992 - January 25, 1993
KOBER FINANCIAL CORP.
BD
CRD#: 17551
ENGLEWOOD, CO
Past
July 29, 1991 - July 9, 1992
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
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
California(7/20/2016)
IAR
California(7/21/2016)
RR
Delaware(7/20/2016)
RR
District of Columbia(7/20/2016)
RR
Florida(4/15/2022)
IAR
Florida(4/15/2022)
RR
Georgia(9/12/2019)
RR
Idaho(11/19/2020)
RR
Maryland(7/20/2016)
RR
New York(1/17/2023)
RR
Pennsylvania(7/20/2016)
RR
Texas(12/14/2018)
RR
Virginia(7/20/2016)
Exams
State Security Law Exam
State Security Law 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.
