Jon S. Rustad
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jon Sverre Rustad, who also goes by Jan Sverre Rustad, Jan Rustad, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1992. Jon had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2021 - December 31, 2024
CENTAURUS FINANCIAL, INC.
May 14, 2021 - December 31, 2024
CENTAURUS FINANCIAL, INC.
October 16, 2014 - May 17, 2021
NPB FINANCIAL GROUP, LLC
October 1, 2014 - May 17, 2021
NPB FINANCIAL GROUP, LLC
May 28, 2008 - October 2, 2014
INDEPENDENT FINANCIAL GROUP, LLC
May 28, 2008 - October 2, 2014
INDEPENDENT FINANCIAL GROUP, LLC
November 11, 2003 - May 27, 2008
SII INVESTMENTS, INC.
November 11, 2003 - May 27, 2008
SII INVESTMENTS, INC.
January 24, 2003 - November 12, 2003
SUNSET FINANCIAL SERVICES, INC.
January 7, 2003 - November 12, 2003
SUNSET FINANCIAL SERVICES, INC.
June 11, 2002 - December 31, 2002
CARILLON INVESTMENTS, INC.
March 18, 2002 - December 31, 2002
CARILLON INVESTMENTS, INC.
October 6, 2000 - March 26, 2002
MONY SECURITIES CORPORATION
March 20, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 20, 1992 - September 28, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
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 | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE 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.
