RB
Randal J. Brown
CENTAURUS FINANCIAL
Fullerton, CA 92832
Some features on this profile are disabled
CRD#: 2878181
RB
Professional summary
Randal James Brown, who also goes by Randy Brown, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Fullerton, California.
Randal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Randal has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Brown
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. Randal James Brown serves as a volunteer board member and consulting CEO of California Friends Homes. 2. Briteline Wealth Management, non-investment related, 729 N. Harbor Blvd., Fullerton CA 92832, DBA for branding and marketing only, Managing Director, since 7/22/2013.
CRS (Client Relationship Summary) - RIA
Click below to view Randal James Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randal James Brown'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
July 12, 2010 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 729 N. Harbor Blvd., Fullerton, CA 92832RIA
BD
CRD#: 30833
Fullerton, CA
Current
July 9, 2010 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 729 N. Harbor Blvd., Fullerton, CA 92832RIA
BD
CRD#: 30833
Fullerton, CA
Past
July 2, 2010 - December 22, 2020
BRITELINE WEALTH MANAGEMENT GROUP
RIA
CRD#: 154063
FULLERTON, CA
Past
January 27, 2006 - May 10, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
FULLERTON, CA
Past
January 27, 2006 - May 10, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
FULLERTON, CA
Past
April 23, 2004 - January 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
FULLERTON, CA
Past
April 23, 2004 - January 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
FULLERTON, CA
Past
July 8, 1997 - April 26, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WHITTIER, CA
Past
April 24, 1997 - April 26, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
IAR
Arizona(10/3/2024)
RR
California(7/12/2010)
IAR
California(7/12/2010)
RR
Illinois(11/15/2010)
RR
South Carolina(7/13/2010)
IAR
South Carolina(1/4/2011)
RR
Texas(2/13/2019)
IAR
Texas(2/13/2019)
IAR
Virginia(6/13/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
