Harold F. Martek
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harold Francis Martek JR, who also goes by Joe Martek, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1998. Harold had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - January 29, 2021
CENTAURUS FINANCIAL, INC.
September 30, 2009 - January 29, 2021
CENTAURUS FINANCIAL, INC.
April 20, 2009 - October 1, 2009
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - October 1, 2009
SECURITIES AMERICA, INC.
June 27, 2007 - February 7, 2009
BRECEK & YOUNG ADVISORS, INC.
June 26, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
September 9, 2002 - June 28, 2007
LEGACY ADVISORY SERVICES, INC.
August 20, 2002 - June 28, 2007
LEGACY FINANCIAL SERVICES, INC.
July 31, 2002 - August 20, 2002
BRECEK & YOUNG ADVISORS, INC.
July 22, 2002 - August 20, 2002
BRECEK & YOUNG ADVISORS, INC.
April 15, 2002 - July 25, 2002
LEGACY ADVISORY SERVICES, INC.
June 5, 1998 - July 25, 2002
LEGACY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
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.
