AS
Armand C. Sperduto
CENTAURUS FINANCIAL
North Huntingtondon, PA 15642
Some features on this profile are disabled
CRD#: 2560192
AS
Professional summary
Armand Charles Sperduto, who also goes by Armand C Sperduto, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in North Huntingtondon, Pennsylvania.
Armand is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Armand has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Armand C Sperduto
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.
DOWLING INSURANCE POSITION: agent NATURE: Sales of fixed annuities and term and whole life insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 6 START DATE: 04/01/1992 ADDRESS: 134 Clay Pike, North Huntingdon PA 15642, United States DESCRIPTION: Writing P & C coverage with Erie Ins Group. Also writing with Erie Family Ins. Co. , life and fixed annuity business.
CRS (Client Relationship Summary) - RIA
Click below to view Armand Charles Sperduto's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Armand Charles Sperduto'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
August 1, 2016 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 134 Clay Pike, North Huntingtondon, PA 15642RIA
BD
CRD#: 30833
North Huntingtondon, PA
Current
August 1, 2016 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 134 Clay Pike, North Huntingtondon, PA 15642RIA
BD
CRD#: 30833
North Huntingtondon, PA
Past
November 5, 2007 - June 20, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
DELMONT, PA
Past
April 5, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PITTSBURGH, PA
Past
April 5, 2007 - June 20, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DELMONT, PA
Past
October 5, 2004 - May 24, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
PITTSBURGH, PA
Past
October 5, 2004 - April 2, 2007
OSAIC FA, INC.
BD
CRD#: 3978
PITTSBURGH, PA
Past
December 16, 2003 - September 29, 2004
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
September 9, 1999 - December 3, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
November 25, 1994 - September 3, 1999
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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
Pennsylvania(8/1/2016)
IAR
Pennsylvania(8/1/2016)
Exams
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
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.
