Andrew Vanderzwaag
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.
Andrew Vanderzwaag JR was a registered financial advisor .
Andrew is a previously registered financial advisor and started their career in finance in 1969. Andrew had worked at 20 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 31, 1997 - October 11, 2004
CENTAURUS FINANCIAL, INC.
February 6, 1997 - October 11, 2004
CENTAURUS FINANCIAL, INC.
May 10, 1996 - January 29, 1997
AMERITAS INVESTMENT COMPANY, LLC
April 20, 1994 - May 29, 1996
SUNSET FINANCIAL SERVICES, INC.
August 19, 1992 - April 11, 1994
GUARDIAN INVESTOR SERVICES LLC
November 29, 1989 - July 29, 1992
ROBERT W. BAIRD & CO. INCORPORATED
November 29, 1989 - July 29, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 3, 1989 - November 15, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 3, 1988 - November 15, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 16, 1987 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
January 30, 1985 - April 6, 1989
DIRECT CAPITAL CORPORATION
October 3, 1983 - February 1, 1989
R & M INVESTMENT MARKETING
September 7, 1983 - September 24, 1984
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 8, 1982 - July 14, 1983
OSAIC FS, INC.
September 5, 1979 - November 20, 1981
TITAN/VALUE EQUITIES GROUP, INC.
February 7, 1979 - September 6, 1979
CAPITOL SECURITIES COMPANY
April 23, 1976 - February 11, 1978
SOUTHMARK FINANCIAL SERVICES, INC.
March 18, 1976 - August 23, 1976
INDEPENDENT FINANCIAL PLANNERS CORPORATION
January 4, 1974 - April 1, 1976
M. P. KRUSE & COMPANY, INC.
January 3, 1973 - January 18, 1974
SMITH TECHNIVEST, INC.
July 19, 1972 - February 5, 1973
INTEGRATED RESOURCES EQUITY CORPORATION
February 12, 1971 - August 16, 1972
SECURITY PLANNING SERVICE INC
December 3, 1970 - February 11, 1971
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
January 7, 1969 - January 21, 1974
FINANCIAL OPPORTUNITIES, 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: 8/29/1966
Registered Representative 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.
