Alfred S. Rivera

CENTAURUS FINANCIAL

San Jose, CA 95129

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CRD#: 3189469

Professional summary

Alfred Scott Rivera, who also goes by Alfred Scott Rivera, Scott Rivera, is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in San Jose, California.

Alfred is registered as a RR (Registered Representative) and started their career in finance in 2000. Alfred has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alfred Scott Rivera | Scott Rivera

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alfred Scott Rivera's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 14, 2017 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 360 Kiely Boulevard Suite #240, San Jose, CA 95129Office #2: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806

RIA

CRD#: 30833

San Jose, CA

Past

March 31, 2016 - March 2, 2017

S2K FINANCIAL LLC

CRD#: 248786

ORLANDO, FL

Past

January 18, 2011 - September 2, 2015

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

IRVINE, CA

Past

December 20, 2005 - August 3, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

EL SEGUNDO, CA

Past

December 20, 2005 - December 21, 2010

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

December 20, 2005 - December 21, 2010

CETERA ADVISORS LLC

CRD#: 10299

EL SEGUNDO, CA

Past

November 29, 2005 - December 21, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

December 11, 2004 - November 17, 2005

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

April 11, 2002 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

February 20, 2002 - March 8, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

January 6, 2000 - September 28, 2001

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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.

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

California
(6/14/2017)

Idaho
(3/28/2022)

Texas
(1/3/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Alfred S. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alfred Scott Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

S2K FINANCIAL LLC

REALTY CAPITAL SECURITIES, LLC

VOYA FINANCIAL ADVISORS, INC.

CETERA INVESTMENT SERVICES LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

AMERIPRISE ADVISOR SERVICES, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/2000

Series 63

Date: 5/17/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2000

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

TRUST BUT VERIFY

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