Anthony J. Guglielme
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.
Anthony J Guglielme, who also goes by Anthony J Guglielme, Anthony John Guglielme, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1993. Anthony had worked at 16 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
February 1, 2021 - December 15, 2023
CENTAURUS FINANCIAL, INC.
February 1, 2021 - December 15, 2023
CENTAURUS FINANCIAL, INC.
June 5, 2017 - December 31, 2020
FINANCIAL STRATEGIES GROUP
June 5, 2017 - December 31, 2020
CLASSIC, LLC
November 10, 2016 - June 6, 2017
SECURE ASSET MANAGEMENT, L.L.C.
November 7, 2016 - June 1, 2017
CAPITAL FINANCIAL SERVICES, INC.
July 11, 2012 - November 2, 2016
CONCORDE ASSET MANAGEMENT, LLC
October 13, 2010 - November 2, 2016
CONCORDE INVESTMENT SERVICES, LLC
September 2, 2010 - July 12, 2012
FINANCIAL STRATEGIES GROUP
November 30, 2007 - August 19, 2010
COMPASS FINANCIAL ADVISORS LLC
November 12, 2007 - September 3, 2010
FINTEGRA, LLC
August 8, 2005 - November 14, 2007
QUESTAR ASSET MANAGEMENT, INC.
August 27, 2002 - November 14, 2007
QUESTAR CAPITAL CORPORATION
June 22, 2000 - August 27, 2002
THE MASTERS, INC.
July 20, 1998 - August 27, 2002
VSR FINANCIAL SERVICES, INC.
August 18, 1995 - July 17, 1998
OPPENHEIMER & CO. INC.
November 15, 1993 - September 12, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 15, 1993 - September 12, 1995
SIGNATOR INVESTORS, INC.
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 | 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.
