Clarence A. Brinkman
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.
Clarence Arthur Brinkman, who also goes by C Jack Brinkman, Clarence A Brinkman, Jack Brinkman, was a registered financial professional .
Clarence is a previously registered financial professional and started their career in finance in 1970. Clarence had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 1, Series 27, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 1999 - April 12, 2018
CENTAURUS FINANCIAL, INC.
March 31, 1999 - July 27, 1999
MUTUAL SERVICE CORPORATION
August 9, 1988 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
June 10, 1988 - August 15, 1988
CIDCO INVESTMENT SERVICES, INC.
February 25, 1983 - June 6, 1988
FCM SECURITIES CORPORATION
November 9, 1982 - February 4, 1983
DANIEL BRINKMAN INVESTMENT SECURITIES, INC.
February 8, 1973 - January 25, 1982
DANIEL BRINKMAN INVESTMENT SECURITIES, INC.
May 21, 1970 - March 15, 1973
TRANSAMERICA FINANCIAL ADVISORS, 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
Series 1
Date: 11/2/1967
Registered Representative ExaminationSeries 00
Date: 9/21/1972
General Securities Principal ExaminationCurrent 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.
