JK
James R. King
CENTAURUS FINANCIAL
Anaheim, CA 92802
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CRD#: 269927
JK
Professional summary
James Ronald King SR, who also goes by James Ronald King, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Anaheim, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. James has worked at 7 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 24, Series 27, F04 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Ronald King
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.
BROKERAGE DESIGN & DEVELOPMENT (BDD), DIRECTOR/CONSULTANT, SINCE 8/1/2003, 2300 E KATELLA AVE., SUITE 200, ANAHEIM, CA 92806, COURSE INSTRUCTOR AND CONSULTANT TRAINING REGISTERED REPRESENTATIVE, DEVOTED TIME IS 5 HRS A MONTH, NON-INVESTMENT RELATED.
HAMILTON STRATEGIC MARKETING, CONSULTANT, SINCE 8/1/2003, SANTA ANA, CA 92705, MARKETING CONSULTANT, DEVOTED TIME IS 5 HRS A MONTH, NON-INVESTMENT RELATED.
WESPAC TAX SERVICE, OWNER, SINCE 1/1/1974, 2300 E. KATELLA AVE., SUITE 200, ANAHEIM, CA 92806, TAX PREPARATION, DEVOTED TIME IS 3 HRS A MONTH, NON-INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view James Ronald King SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Ronald King SR'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
February 1, 2012 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92802Office #2: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806Office #3: 162 E. Hayden Ave., Hayden, ID 83835RIA
BD
CRD#: 30833
Anaheim, CA
Current
April 16, 1993 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92802Office #2: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806Office #3: 162 E. Hayden Ave., Hayden, ID 83835RIA
BD
CRD#: 30833
Anaheim, CA
Past
June 6, 1996 - April 15, 2005
BROKERAGE DESIGN & DEVELOPMENT, INC.
BD
CRD#: 18204
ORANGE, CA
Past
June 25, 1992 - July 6, 1992
ROBERT SCOTT SECURITIES, INC.
BD
CRD#: 28180
Past
October 17, 1977 - September 10, 1993
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
October 18, 1973 - November 22, 1975
IMPERIAL DISTRIBUTORS, INC.
BD
CRD#: 6514
Past
August 13, 1973 - November 24, 1975
BROKERS DISTRIBUTORS, INC
BD
CRD#: 1000004
Past
June 10, 1971 - December 12, 1977
M. H. DECKARD & CO., INC.
BD
CRD#: 539
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
California(4/23/1993)
IAR
California(2/1/2012)
RR
Idaho(5/27/2014)
RR
South Carolina(2/10/2020)
RR
Washington(1/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/7/1971
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
F04
Date: 12/19/1977
Financial Principal ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 1/24/1977
Registered Principal ExaminationSRO 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.
