Robert J. Gillette
Professional summary
Robert James Gillette, CFP® is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Los Alamitos, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1966. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, PC, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robert James Gillette's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert James Gillette's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1987
Experience
September 30, 2015 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 5182 Katella Avenue Suite #101, Los Alamitos, CA 90720September 30, 2015 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 5182 Katella Avenue Suite #101, Los Alamitos, CA 90720May 22, 2009 - September 30, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
May 22, 2009 - September 30, 2015
J.P. TURNER & COMPANY, L.L.C.
January 1, 2008 - May 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 21, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
July 21, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 15, 2002 - August 6, 2004
UBS FINANCIAL SERVICES INC.
January 31, 1980 - August 6, 2004
UBS FINANCIAL SERVICES INC.
August 23, 1966 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
(9/30/2015)
(9/30/2015)
(9/30/2015)
(10/1/2015)
(5/1/2017)
(10/6/2017)
(3/24/2017)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 10/13/1977
AMEX Put and Call ExamSeries 1
Date: 8/19/1966
Registered Representative ExaminationFINRA
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.
