BD
Bruce J. Drooks
CENTAURUS FINANCIAL
West Hills, CA
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CRD#: 2440188
BD
Professional summary
Bruce Joel Drooks is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in West Hills, California.
Bruce is registered as a RR (Registered Representative) and started their career in finance in 1994. Bruce has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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. BRUCE DROOKS, HEALTH INSURANCE BROKER, SINCE 1/1/2001, AT 7282 PONDERA CIRCLE, WEST HILLS, CA 91307, HEALTH INSURANCE, DEVOTED TIME IS 15 HRS A MONTH, NON-INVESTMENT RELATED. 2. BRUCE DROOKS POSITION: tax preparer NATURE: tax preparation INVESTMENT RELATED: No NUMBER OF HOURS: 75 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1969 ADDRESS: 7282 pondera circle, WEST HILLS CA 91307, United States DESCRIPTION: tax preparer
CRS (Client Relationship Summary) - BD
Click below to view Bruce Joel Drooks'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
January 27, 1999 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
West Hills, CA
Past
February 4, 2000 - December 31, 2023
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
WEST HILLS, CA
Past
April 19, 1994 - February 8, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
April 19, 1994 - February 8, 1999
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
February 1, 1994 - February 23, 1994
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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.
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(1/27/1999)
RR
California(1/27/1999)
RR
Florida(1/5/2007)
RR
Maryland(1/27/1999)
RR
Nevada(2/6/2018)
RR
New York(1/27/1999)
RR
Utah(1/27/1999)
RR
Virginia(2/9/1999)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
