AB
Alan J. Bernstein
CENTAURUS FINANCIAL
Lake Worth, FL
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CRD#: 4508128
AB
Professional summary
Alan Jay Bernstein is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Lake Worth, Florida.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Alan has worked at 8 firms and has passed the Series 65, 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.
CT INSTITUTE OF FINANCE, NON-INVESTMENT RELATED, 4749 MAIN ST., BRIDGEPORT, CT 06606, DBA FOR MARKETING AND BRANDING PURPOSES, IAR, SINCE 4/18/2012. CONNECTICUT INSTITUTE OF FINANCE, NON-INVESTMENT RELATED, 4749 MAIN ST., BRIDGEPORT, CT 06606, TAX PREPARATION, TAX PREPARER, SINCE 1/1/2003, DEVOTED TIME IS 240 HOUR A MONTH FROM JAN. TO APRIL. SOUND COACHING INC., NON-INVESTMENT RELATED, 4749 MAIN ST., BRIDGEPORT, CT 06606, COACHING, COACH, SINCE 1/1/2009, DEVOTED TIME IS 35 HOURS A MONTH, COACH CLIENTS ON THEIR INDIVIDUAL NEEDS AND BUSINESS NEEDS.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Jay Bernstein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Jay Bernstein'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
May 31, 2017 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Lake Worth, FL
Current
May 31, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 231 Coram Avenue, Shelton, CT 06484RIA
BD
CRD#: 30833
Shelton, CT
Past
April 11, 2013 - June 1, 2017
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
February 23, 2011 - May 31, 2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
BRIDGEPORT, CT
Past
March 27, 2008 - April 18, 2013
SOUND ASSET MANAGEMENT GROUP, LLC
RIA
CRD#: 145330
BRIDGEPORT, CT
Past
January 24, 2008 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
BRIDGEPORT, CT
Past
February 9, 2006 - December 31, 2009
SOUND ASSET MANAGEMENT, INC.
RIA
CRD#: 133871
BRIDGEPORT, CT
Past
December 4, 2002 - January 24, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
BRIDGEPORT, CT
Past
June 4, 2002 - December 2, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
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
RR
California(6/10/2021)
RR
Connecticut(5/31/2017)
IAR
Connecticut(5/31/2017)
RR
Florida(5/31/2017)
IAR
Florida(6/1/2017)
RR
New York(5/31/2017)
IAR
New York(11/1/2021)
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.
