MS
Martin J. Scalzo
CENTAURUS FINANCIAL
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 5219311
MS
Professional summary
Martin John Scalzo, who also goes by Marty John Scalzo, Marty J. Scalzo, Marty Scalzo, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Irvine, California.
Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Martin has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marty John Scalzo | Marty J. Scalzo | Marty Scalzo
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.
FAMILY TRUST OWNS PRIVATE SHARES OF EQUIS STOCK, INVESTMENT RELATED, REGISTERED REPRESENTATIVE IS A BENEFICIARY OF THE TRUST NOT THE TRUSTEE, SINCE 5/10/2017. ESTATE PLANNING TEAM NON-INVESTMENT RELATED, 45110 CLUB DRIVE, SUITE B, INDIAN WELLS, CA 92210, PROSPECTING TO CLIENTS TO EDUCATE THEM ON DEFERRED SALES TRUST STRATEGY, MEMBER, SINCE 4/25/2017, DEVOTED TIME IS 10 HOURS A MONTH. MARTIN J. SCALZO, 7700 IRVINE CENTER DRIVE, #800, IRVINE, CA 92618. NON INVESTMENT RELATED. I SPEND APPROX. 2-20 HOURS PER MONTH ON THIS ACTIVITY. INCORPORATE INSURANCE INTO MY PRACTICE. REAL ESTATE BROKER, MARTIN J. SCALZO REAL ESTATE BROKER, 7700 IRVINE CENTER DRIVE, #800, IRVINE, CA 92618. INVESTMENT RELATED SINCE 2005 AND I SPEND APPROX. 1-2 HOURS PER MONTH ON THIS ACTIVITY. SELL PROPERTY FOR FAMILY AND FRIENDS.
CRS (Client Relationship Summary) - RIA
Click below to view Martin John Scalzo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Martin John Scalzo'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
February 28, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 7700 Irvine Center Drive Suite 800, Irvine, CA 92618RIA
BD
CRD#: 30833
Irvine, CA
Current
February 27, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 7700 Irvine Center Drive Suite 800, Irvine, CA 92618RIA
BD
CRD#: 30833
Irvine, CA
Past
June 3, 2015 - March 2, 2017
FINANCIAL WEST GROUP
BD
CRD#: 16668
Irvine, CA
Past
June 2, 2015 - March 2, 2017
FINANCIAL WEST GROUP
RIA
CRD#: 16668
Irvine, CA
Past
May 29, 2012 - June 26, 2015
ARQUE CAPITAL, LTD.
RIA
CRD#: 121192
SAN JUAN CAPISTRANO, CA
Past
May 29, 2012 - June 26, 2015
ARQUE CAPITAL, LTD.
BD
CRD#: 121192
SCOTTSDALE, AZ
Past
December 13, 2011 - June 4, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
FOOTHILL RANCH, CA
Past
December 13, 2011 - June 4, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FOOTHILL RANCH, CA
Past
June 1, 2009 - October 10, 2011
MORGAN STANLEY
RIA
CRD#: 149777
IRVINE, CA
Past
June 1, 2009 - October 10, 2011
MORGAN STANLEY
BD
CRD#: 149777
IRVINE, CA
Past
October 6, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
RENO, NV
Past
October 6, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
RENO, NV
Past
December 20, 2007 - September 8, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
IRVINE, CA
Past
December 20, 2007 - September 8, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
IRVINE, CA
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
Alaska(1/4/2023)
IAR
Alaska(1/4/2023)
RR
Arizona(2/27/2017)
IAR
Arizona(5/2/2018)
RR
California(2/27/2017)
IAR
California(2/28/2017)
RR
Colorado(1/4/2023)
IAR
Colorado(1/4/2023)
RR
Georgia(5/5/2017)
IAR
Georgia(5/5/2017)
RR
Nevada(1/2/2025)
IAR
Nevada(1/3/2025)
RR
North Carolina(12/9/2021)
IAR
North Carolina(12/9/2021)
RR
South Carolina(3/31/2023)
IAR
South Carolina(3/31/2023)
RR
Texas(2/27/2017)
IAR
Texas(2/28/2017)
RR
Washington(2/27/2017)
IAR
Washington(3/2/2017)
Exams
State Security Law Exam
General Industry/Product 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.
