AM
Atul Makharia
CENTAURUS FINANCIAL
Lexington, SC 29072
Some features on this profile are disabled
CRD#: 5070762
AM
Professional summary
Atul Makharia is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Lexington, South Carolina.
Atul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Atul has worked at 4 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.
1. COLA WEALTH ADVISORS, NON-INVESTMENT RELATED, 4580 SUNSET BLVD., LEXINGTON, SC 29072, DBA FOR MARKETING AND BRANDING PURPOSES ONLY, REGISTERED REPRESENTATIVE, SINCE 7/15/2019. 2. MANTEI & ASSOCIATES, NON-INVESTMENT RELATED, 4580 SUNSET BLVD., LEXINGTON, SC 29072, FOR BRANDING AND ADMINISRATIVE PURPOSES INCLUDING, BUT NOT LIMITED TO THE PROCESSING OF BUSINESS EXPENSES, PAYROLL AND BENEFITS, EMPLOYEE, SINCE 10/1/2003, DEVOTED TIME IS 300 HOURS A MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Atul Makharia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Atul Makharia'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
April 29, 2024 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4580 Sunset Blvd., Lexington, SC 29072RIA
BD
CRD#: 30833
Lexington, SC
Current
May 19, 2015 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4580 Sunset Blvd., Lexington, SC 29072RIA
BD
CRD#: 30833
Lexington, SC
Past
March 30, 2010 - June 15, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
LEXINGTON, SC
Past
March 13, 2008 - March 29, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
LEXINGTON, SC
Past
December 21, 2005 - March 17, 2008
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LEXINGTON, SC
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
Alabama(10/6/2016)
RR
Florida(5/19/2015)
IAR
Florida(11/25/2024)
RR
Georgia(5/19/2015)
IAR
Georgia(7/15/2024)
RR
Minnesota(10/26/2016)
RR
North Carolina(5/19/2015)
RR
South Carolina(5/19/2015)
IAR
South Carolina(4/29/2024)
RR
Tennessee(5/21/2015)
RR
Texas(5/19/2015)
RR
Virginia(5/19/2015)
RR
Washington(6/15/2015)
RR
Wisconsin(7/5/2017)
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)
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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Lexington, SC 29072TRUST BUT VERIFY
Monitor Atul Makharia
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
