AG
Andrew C. Gordon
CENTAURUS FINANCIAL
Lake Forest, CA 92630
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CRD#: 2936496
AG
Professional summary
Andrew Charles Gordon is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Lake Forest, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Andrew has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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. SOLE PROPRIETOR, 1 SPECTRUM POINTE DRIVE, SUITE #210, LAKE FOREST, CA 92630. NON INVESTMENT RELATED SINCE 01/2008 AND I SPEND APPROX. 2 HOURS PER MONTH ON THIS ACTIVITY. SALES OF HEALTH & DENTAL INSURANCE. 2. A.G. WEALTH MANAGEMENT ADVISERS, INC POSITION: Owner NATURE: This is a C-Corp and I use it as a pass through. Since a corporation can not hold a individual Securities License or Insurance License. The C-Corp is used for my commissions and expenses. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/17/2006 ADDRESS: 1 Spectrum Pointe Drive #210, Lake Forest CA 92630, United States DESCRIPTION: This is a C-Corp and I use it as a pass through. Since a corporation can not hold a individual Securities License or Insurance License. The C-Corp is used for my commissions and expenses. 3. WEALTH MANAGEMENT ADVISERS POSITION: Owner NATURE: DBA for branding purposes INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/31/1996 ADDRESS: 1 Spectrum Pointe Drive #210, Lake Forest CA 92630, United States DESCRIPTION: DBA for branding purposes
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Charles Gordon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Charles Gordon'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 28, 2002 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1 Spectrum Pointe Drive Suite #210, Lake Forest, CA 92630RIA
BD
CRD#: 30833
Lake Forest, CA
Current
August 27, 1997 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1 Spectrum Pointe Drive Suite #210, Lake Forest, CA 92630RIA
BD
CRD#: 30833
Lake Forest, 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.
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
Alabama(6/17/2020)
IAR
Alabama(6/17/2020)
RR
Arizona(9/26/2016)
IAR
Arizona(6/20/2018)
RR
California(9/3/1997)
IAR
California(2/28/2002)
RR
Colorado(8/17/2018)
IAR
Colorado(9/27/2021)
RR
Florida(5/10/2022)
IAR
Florida(5/11/2022)
RR
Georgia(10/29/2020)
IAR
Georgia(5/25/2023)
RR
Idaho(7/11/2022)
IAR
Idaho(7/12/2022)
RR
Iowa(11/3/2016)
IAR
Iowa(11/7/2016)
RR
Michigan(1/2/2024)
IAR
Michigan(1/4/2024)
RR
Missouri(10/31/2018)
RR
Montana(4/22/2021)
IAR
Montana(1/19/2023)
RR
Nevada(8/2/2022)
IAR
Nevada(8/2/2022)
RR
New Mexico(6/30/2023)
IAR
New Mexico(7/3/2023)
RR
North Carolina(9/15/2017)
IAR
North Carolina(9/18/2017)
IAR
Oregon(1/13/2022)
IAR
Pennsylvania(1/23/2018)
RR
South Carolina(5/16/2019)
IAR
South Carolina(5/17/2019)
RR
Texas(2/10/2020)
IAR
Texas(3/17/2021)
RR
Utah(5/19/2023)
IAR
Utah(5/19/2023)
RR
Virginia(1/5/2024)
IAR
Virginia(1/9/2024)
RR
Washington(5/21/2012)
IAR
Washington(5/29/2012)
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.
