Adam J. Handler
Professional summary
Adam J Handler, who also goes by Adam Jon Handler, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Branchburg, New Jersey.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Adam has worked at 10 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Adam J Handler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam J Handler's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 20, 2025 - Present
CENTAURUS FINANCIAL, INC.
March 19, 2025 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2300 E. Katella Avenue Suite #200, Anaheim, CA 92806March 25, 2021 - February 21, 2025
SPC
March 15, 2021 - February 21, 2025
SIGMA FINANCIAL CORPORATION
March 15, 2021 - February 21, 2025
PARKLAND SECURITIES, LLC
July 30, 2014 - March 11, 2021
IC ADVISORY SERVICES, INC.
July 28, 2014 - March 11, 2021
THE INVESTMENT CENTER, INC.
April 19, 2013 - July 23, 2014
UBS FINANCIAL SERVICES INC.
April 19, 2013 - July 23, 2014
UBS FINANCIAL SERVICES INC.
March 30, 2011 - April 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2011 - April 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2011 - February 25, 2011
EQUITABLE ADVISORS, LLC
November 22, 2010 - February 25, 2011
EQUITABLE ADVISORS, LLC
September 29, 2007 - January 8, 2008
OPUS TRADING FUND LLC
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
(4/2/2025)
(4/2/2025)
(3/19/2025)
(3/20/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current 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.
