James T. Riner
Professional summary
James Thomas Riner, who also goes by Jim Riner, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Redlands, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. James has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Thomas Riner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Thomas Riner's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2023 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1706 Plum Lane Suite #109, Redlands, CA 92374October 13, 2023 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 1706 Plum Lane Suite #109, Redlands, CA 92374June 12, 2020 - October 19, 2023
CROWN CAPITAL SECURITIES, L.P.
June 12, 2020 - October 19, 2023
CROWN CAPITAL SECURITIES, L.P.
June 18, 2013 - June 10, 2020
CENTAURUS FINANCIAL, INC.
June 17, 2013 - June 10, 2020
CENTAURUS FINANCIAL, INC.
January 31, 2000 - July 2, 2013
CROWN CAPITAL SECURITIES, L.P.
January 20, 2000 - July 2, 2013
CROWN CAPITAL SECURITIES, L.P.
August 18, 1998 - January 18, 2000
CENTAURUS FINANCIAL, INC.
July 9, 1984 - July 28, 1998
TITAN/VALUE EQUITIES GROUP, INC.
January 11, 1974 - March 17, 1978
CHARTERED INVESTMENT SERVICES, INCORPORATED
August 13, 1973 - January 11, 1974
TRACEY & DAUM SECURITIES INC
July 19, 1973 - September 1, 1973
MUTUAL FUND INVESTORS, 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
(10/18/2023)
(10/13/2023)
(10/16/2023)
(10/26/2023)
(8/5/2025)
(10/18/2023)
(10/19/2023)
(10/19/2023)
(10/20/2023)
Exams
Series 1
Date: 7/12/1973
Registered Representative ExaminationFINRA
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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Redlands, CA 92374TRUST BUT VERIFY
Monitor James Riner
Get automatic monthly alerts on:
