Daniel J. Roberts

CENTAURUS FINANCIAL

Santa Ana, CA 92705

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CRD#: 843172

Professional summary

Daniel John Roberts is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Santa Ana, California.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Daniel has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 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.

CO-OWNER/GENERAL MANAGER, PET BUDDIES, SANTA ANA, CA 92705. NON INVESTMENT RELATED SINCE 03/1999 AND I SPEND APPROX. 10 HOURS PER MONTH ON THIS ACTIVITY. DUTIES: OVERSEES BILLING AND COLLECTIONS ACTIVITIES, HANDLE THE LEGAL ISSUES AND RESOLVE ANY DIFFICULTIES THAT ARISE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel John Roberts's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daniel John Roberts's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 1, 2016 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 640 N. Tustin Avenue Suite #106, Santa Ana, CA 92705

RIA

CRD#: 30833

Santa Ana, CA

Current

July 1, 2016 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 640 N. Tustin Avenue Suite #106, Santa Ana, CA 92705

RIA

CRD#: 30833

Santa Ana, CA

Past

August 24, 2011 - July 11, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

SANTA ANA, CA

Past

August 24, 2011 - July 11, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SANTA ANA, CA

Past

December 22, 2009 - September 2, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

TUSTIN, CA

Past

December 18, 2009 - September 2, 2011

LPL FINANCIAL LLC

CRD#: 6413

TUSTIN, CA

Past

December 15, 1997 - December 22, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TUSTIN, CA

Past

August 21, 1996 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 21, 1996 - December 22, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TUSTIN, CA

Past

January 15, 1995 - July 10, 1995

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Past

April 29, 1993 - December 1, 1994

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

May 27, 1992 - April 29, 1993

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

July 17, 1990 - May 11, 1992

COAST FINANCIAL ADVISORS, INC.

CRD#: 6249

MISSION VIEJO, CA

Past

November 8, 1983 - July 5, 1990

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

October 2, 1981 - January 18, 1984

LPL FINANCIAL LLC

CRD#: 6413

Past

September 28, 1977 - July 15, 1981

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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.

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

California
(7/1/2016)

IAR

California
(7/1/2016)

Colorado
(1/2/2019)

IAR

Colorado
(3/18/2021)

Washington
(1/2/2019)

IAR

Washington
(2/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/29/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 9/19/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/1983

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

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.

Contact information

xxxxx@xxxx.xxx

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Daniel J. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel John Roberts's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel John Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

PIM FINANCIAL SERVICES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

CARILLON INVESTMENTS, INC.

COAST FINANCIAL ADVISORS, INC.

SENTRA SECURITIES CORPORATION

LPL FINANCIAL LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/29/1988

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1981

Series 1

Date: 9/19/1977

Series 24

Date: 8/30/1983

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

TRUST BUT VERIFY

Contact information

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