AS
Amy E. Sporer
CENTAURUS FINANCIAL
Honesdale, PA 18431
Some features on this profile are disabled
CRD#: 4897649
AS
Professional summary
Amy Elizabeth Sporer, who also goes by Amy E. Kasper, Amy Elizabeth Kasper, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Honesdale, Pennsylvania.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Amy has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy E. Kasper | Amy Elizabeth Kasper
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.
FORTHRIGHT WEALTH PLANNING, NON-INVESTMENT RELATED, 111 GRANDVIEW AVE.,HONESDALE, PA 18431, DBA FOR MARKETING AND BRANDING PURPOSES ONLY, SINCE 2/28/2017. AMY SPORER, NON-INVESTMENT RELATED, 111 GRANDVIEW AVE., HONSDALE, PA 18431, SALES AND SERVICE OF DISABILITY INSURANCE THROUGH DI SERVICES (FMO) WITH MUTUAL OF OMAHA, BROKER/AGENT, SINCE 4/23/2018, DEVOTED TIME IS 2 HOURS A MONTH, SELL AND SERVICE EXISTING AND NEW DISABILITY AND ACCIDENT/HEALTH INSURANCE PLANS FOR INDIVIDUALS AND SMALL BUSINESS OWNERS.
CRS (Client Relationship Summary) - RIA
Click below to view Amy Elizabeth Sporer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Elizabeth Sporer'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
November 1, 2007 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 111 Grandview Avenue, Honesdale, PA 18431RIA
BD
CRD#: 30833
Honesdale, PA
Current
November 1, 2007 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 111 Grandview Avenue, Honesdale, PA 18431RIA
BD
CRD#: 30833
Honesdale, PA
Past
January 23, 2007 - October 17, 2007
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
STROUDSBURG, PA
Past
January 11, 2007 - October 17, 2007
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
STROUDSBURG, PA
Past
April 27, 2005 - January 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CENTER VALLEY, PA
Past
March 7, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 7, 2005 - January 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CENTER VALLEY, PA
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(8/16/2018)
IAR
California(8/17/2018)
RR
Colorado(10/31/2022)
RR
Florida(1/2/2024)
RR
Georgia(4/2/2025)
IAR
Georgia(4/3/2025)
RR
Indiana(8/2/2018)
RR
Nevada(1/4/2024)
IAR
New Jersey(1/4/2023)
RR
New Jersey(1/2/2024)
RR
New York(4/2/2025)
RR
Pennsylvania(11/1/2007)
IAR
Pennsylvania(11/1/2007)
RR
Virginia(7/14/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
