MR
Matthew J. Riley
CENTAURUS FINANCIAL
Middletown, DE 19709
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CRD#: 2914452
MR
Professional summary
Matthew John Riley is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Middletown, Delaware.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Matthew has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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. GENESIS ADVISORS, LLC POSITION: Partner NATURE: DBA for branding purposes only INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2012 ADDRESS: 423 N. Broad Street, Suite #3, Middletown, DE DE 19709, United States DESCRIPTION: DBA for branding purposes only 2. MATTHEW RILEY POSITION: Agent NATURE: Fixed Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/09/2012 ADDRESS: 423 N. Broad Street, Suite #3, Middletown DE 19709, United States DESCRIPTION: Fixed Insurance sales 3. MIDDLETOWN YMCA POSITION: Board Member NATURE: The YMCA is a leading non-profit organization committed to strengthening community through youth development, healthy living, and social responsibility. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/20/2023 ADDRESS: 404 N. Cass Street, Middletown DE 19709, United States DESCRIPTION: The purpose of the Branch Board is to align the work of the local YMCA to the community it serves, as well as to the YMCA of Delaware as a whole. Branch board members serve as voting members of the branch board with the authority and responsibility to identify, support and promote excellence in branch programs and services to meet the needs of the entire community. Branch board members provide input to the Association's Board of Directors regarding respective branch programs, services and community partnerships.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew John Riley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew John Riley'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
October 14, 2010 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 651 N. Broad Street Suite #205, Middletown, DE 19709RIA
BD
CRD#: 30833
Middletown, DE
Current
September 5, 2007 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 651 N. Broad Street Suite #205, Middletown, DE 19709RIA
BD
CRD#: 30833
Middletown, DE
Past
September 5, 2007 - December 31, 2007
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
WILMINGTON, DE
Past
August 28, 2007 - July 30, 2010
AFFINITY WEALTH MANAGEMENT LLC
RIA
CRD#: 105840
WILMINGTON, DE
Past
May 1, 2001 - August 17, 2007
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEWARK, DE
Past
October 20, 2000 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
July 22, 1997 - October 26, 2000
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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(3/21/2018)
IAR
Colorado(6/27/2018)
RR
Colorado(11/6/2019)
RR
Connecticut(6/26/2018)
IAR
Connecticut(1/26/2022)
RR
Delaware(9/5/2007)
IAR
Delaware(10/15/2010)
RR
Florida(1/13/2016)
IAR
Florida(1/5/2017)
IAR
Georgia(10/14/2020)
IAR
Hawaii(3/1/2021)
RR
Hawaii(6/14/2024)
IAR
Indiana(8/17/2020)
RR
Maryland(1/2/2008)
IAR
Maryland(11/30/2011)
IAR
Massachusetts(7/26/2019)
RR
Missouri(8/27/2020)
IAR
New Jersey(9/15/2016)
IAR
New York(11/8/2021)
IAR
North Carolina(11/9/2021)
RR
Ohio(6/27/2018)
IAR
Oregon(6/5/2019)
RR
Oregon(3/9/2021)
RR
Pennsylvania(1/2/2008)
IAR
Pennsylvania(10/14/2010)
IAR
South Carolina(7/8/2019)
IAR
Texas(3/1/2021)
IAR
Virginia(6/27/2018)
IAR
Washington(4/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Middletown, DE 19709TRUST BUT VERIFY
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