ST
Sonji R. Tucker
CENTAURUS FINANCIAL
Richmond, VA 23235
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CRD#: 2994933
ST
Professional summary
Sonji Rollins Tucker is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Richmond, Virginia.
Sonji is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sonji has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 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. SRT Wealth Design Group, LLC, non-investment related, 1245 Mall Drive, Richmond, VA 23235, DBA, owner/agent, since 11/2017, devoted time 160 hours a month, insurance sales for fixed life, fixed indexed annuities, LTC, and Disability. 2. Richmond Heritage Federal Credit Union, non-investment related, 50 West Commerce Street, Richmond, VA, speaker, devote time is 3 hours a month, budgeting credit workshops. 3. Estate Guru, non-investment related, 560 South 100 Street, Utah, devoted time is 10 hours a month, estate planning solutions (will & trust). 2. ETHOS POSITION: agent NATURE: small life insurance term final expense most online INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/10/2023 ADDRESS: 1245 Mall, Richmond VA 23235, United States DESCRIPTION: Agent 3. EMPOWERUS360 POSITION: Financial Educator NATURE: Teaching webinars courses INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2024 ADDRESS: 1245 Mall Drive, Richmond VA 23235, United States DESCRIPTION: Provide Financial education workshops & courses
CRS (Client Relationship Summary) - RIA
Click below to view Sonji Rollins Tucker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sonji Rollins Tucker'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
June 4, 2024 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1245 Mall Drive, Richmond, VA 23235RIA
BD
CRD#: 30833
Richmond, VA
Current
June 4, 2024 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1245 Mall Drive, Richmond, VA 23235RIA
BD
CRD#: 30833
Richmond, VA
Past
April 26, 2019 - December 31, 2023
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
Richmond, VA
Past
April 16, 2019 - December 31, 2023
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
Richmond, VA
Past
December 13, 2017 - April 26, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
RICHMOND, VA
Past
December 12, 2017 - December 12, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
RICHMOND, VA
Past
December 12, 2017 - April 18, 2019
G.F. INVESTMENT SERVICES, LLC
BD
CRD#: 132939
Richmond, VA
Past
December 8, 2016 - December 13, 2017
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
RICHMOND, VA
Past
December 7, 2016 - December 13, 2017
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
RICHMOND, VA
Past
December 6, 2016 - December 7, 2016
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
RICHMOND, VA
Past
January 5, 2004 - November 10, 2016
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
RICHMOND, VA
Past
October 10, 2003 - November 10, 2016
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
RICHMOND, VA
Past
March 6, 2003 - October 16, 2003
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
RICHMOND, VA
Past
May 26, 2000 - October 16, 2003
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
January 22, 1998 - May 26, 2000
CRESTAR SECURITIES CORPORATION
BD
CRD#: 17464
RICHMOND, VA
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
Florida(7/11/2024)
IAR
South Carolina(6/5/2024)
IAR
Texas(7/11/2024)
RR
Virginia(6/4/2024)
IAR
Virginia(6/4/2024)
Exams
State Security Law Exam
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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Richmond, VA 23235TRUST BUT VERIFY
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