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CRD 30833
ANAHEIM, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-07-30 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| SCOTT ANTHONY BLOOM | n/a | APTOS, CA | 26 | 47 | n/a | yes |
| AARON WAYNE SMITH | n/a | GLEN ALLEN, VA | 26 | 35 | n/a | yes |
| JAMES RICHARD REITZEL | n/a | DOYLESTOWN, PA | 26 | 39 | n/a | yes |
| DAWN MARIE KIRCHNER | Certified Financial Planner | SANTA BARBARA, CA | 25 | 29 | n/a | yes |
| ROBERT WARREN HITCHCOCK | n/a | NORWOOD, MA | 25 | 40 | n/a | yes |
| JAMES ARTHUR BALES | n/a | NEWPORT NEWS, VA | 25 | 32 | n/a | yes |
| GARY GOLDBERG | n/a | O'FALLON, IL | St. Louis, MO | 25 | 37 | 2 | yes |
| VINCENT ALFONSO CRESCENZO | n/a | ANAHEIM, CA | SAN DIEGO, CA | 25 | 31 | n/a | yes |
| ANDREW CHARLES GORDON | n/a | Lake Forest, CA | 24 | 29 | n/a | yes |
| GREGORY SCOTT JOHNSTONE | Certified Financial Planner | IRVINE, CA | 24 | 30 | n/a | yes |
| JOHN MICHAEL STEPHENS | n/a | SARATOGA, CA | ANAHEIM, CA | 24 | 35 | 1 | yes |
| KENT AUSTIN COOPER | n/a | REDLANDS, CA | 24 | 35 | n/a | yes |
| JOHN WILLIAM HARTMANN | n/a | BATON ROUGE, LA | 24 | 26 | n/a | yes |
| JEFFREY DAVID MORELAN | n/a | BELLEVUE, WA | ANAHEIM, CA | 23 | 25 | 1 | yes |
| KAPIL BHATNAGAR | n/a | CUPERTINO, CA | 23 | 33 | n/a | yes |
| JOHN MICHAEL STOLAR | n/a | MORGANTOWN, WV | Heber City, UT | MORGAN, PA | 23 | 39 | 1 | yes |
| ALLEN DEAN POE | n/a | PARKCITY, UT | MORGAN, PA | MORGANTOWN, WV | 23 | 31 | 1 | yes |
| MICHAEL STERLING MARSHEL | n/a | RICHLAND, WA | 23 | 32 | 1 | yes |
| BRADLEY LAVERLE MILLER | Chartered Financial Consultant | TOPEKA, KS | ANAHEIM, CA | 23 | 40 | 1 | yes |
| TIMOTHY NEIL TREMBLAY | n/a | SANTA BARBARA, CA | 23 | 42 | 1 | yes |
| LISA TOI SCRANTZ | n/a | BATON ROUGE, LA | 23 | 42 | 1 | yes |
| TROY NICHOLAS TREMBLAY | n/a | SANTA BARBARA, CA | NASHVILLE, TN | 23 | 23 | n/a | yes |
| CHARLES MARTIN BLOOM | n/a | Ashland, OR | 23 | 45 | n/a | yes |
| PAUL STANLEY NURKIEWICZ | Chartered Financial Consultant | YOUNGSTOWN, OH | 22 | 26 | 1 | yes |
| PAUL MICHAEL GARGANO | Certified Financial Planner | Banner Elk, NC | 22 | 27 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2017 | Jul 30, 2026 | Jul 30, 2026 |
| FEDERATION OF FINANCIAL | Owner | E | yes | 03/1993 | Jul 30, 2026 | Jul 30, 2026 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | Na | yes | 10/2007 | Jul 30, 2026 | Jul 30, 2026 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL OFFICER AND PRINCIPAL OPERATIONS OFFICER | Na | yes | 06/2012 | Jul 30, 2026 | Jul 30, 2026 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | Na | yes | 11/2007 | Jul 30, 2026 | Jul 30, 2026 |
| ADAMS, JOHN GLENN | DIRECTOR/SVP | Na | yes | 07/2015 | Jul 30, 2015 | Jul 29, 2024 |
| DUHOVIC, JEROME VICTOR | Shareholder | C | yes | 08/2007 | Mar 30, 2012 | Jul 29, 2024 |
| FEDERATION OF FINANCIAL SERVICES | Owner | E | yes | 03/1993 | Mar 30, 2012 | Jul 29, 2024 |
| KING, JAMES RONALD SR | Shareholder | D | yes | 12/1995 | Mar 30, 2012 | Jul 29, 2024 |
| LEJMAN, SHERI J | CHIEF FINANCIAL OFFICER/SVP/FINANCIAL AND OPERATIONS PRINCIPAL | Na | yes | 10/2014 | Oct 29, 2014 | Jul 29, 2024 |
| KREMER, STEPHEN MARK | Owner | A | no | 06/1999 | Jul 30, 2026 | Jul 30, 2026 |
| RUBINO, MICHAEL PETER | Owner | A | no | 06/1999 | Jul 30, 2026 | Jul 30, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CENTAURUS INSURANCE SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| CENTAURUS TEXAS, INC. | n/a | n/a | n/a | N | yes | n/a |
| CFI NEW MEXICO, INC. | n/a | n/a | n/a | N | yes | n/a |
| CGM RISK MANAGEMENT AND INSURANCE SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| PACIFIC POINT SECURITIES, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Anaheim | CA | United States | 128 | yes |
| Anaheim | CA | United States | 76 | yes |
| Leesburg | Va | United States | 66 | yes |
| Hayden | Id | United States | 16 | yes |
| Lexington | Sc | United States | 15 | yes |
| Anaheim | CA | United States | 13 | yes |
| Upland | CA | United States | 12 | yes |
| SANTA BARBARA | CA | United States | 11 | yes |
| Downey | CA | United States | 8 | yes |
| Scottsdale | Az | United States | 7 | yes |
| NEWPORT BEACH | CA | United States | 7 | yes |
| SANTA MARIA | CA | United States | 7 | yes |
| WESTLAKE VILLAGE | CA | United States | 7 | yes |
| HIGHLAND VILLAGE | TX | United States | 7 | yes |
| WEST HILLS | CA | United States | 6 | yes |
| Shelton | Ct | United States | 6 | yes |
| Elmhurst | IL | United States | 6 | yes |
| Montgomery | TX | United States | 6 | yes |
| Tucson | Az | United States | 5 | yes |
| Tallahassee | FL | United States | 5 | yes |
| BATON ROUGE | La | United States | 5 | yes |
| Norwood | Ma | United States | 5 | yes |
| AUBURN HILLS | Mi | United States | 5 | yes |
| MYRTLE BEACH | Sc | United States | 5 | yes |
| Morgantown | Wv | United States | 5 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Jul 29, 2024 | $6.3B | $2.1B | 580 | 432 | 280 | n/a | n/a |
| 2023 | Jul 28, 2023 | $5.2B | $1.7B | 598 | 444 | 286 | n/a | n/a |
| 2022 | Jul 29, 2022 | $4.6B | $1.8B | 616 | 447 | 174 | n/a | n/a |
| 2021 | Jul 30, 2021 | $4.3B | $1.7B | 601 | 431 | 136 | n/a | n/a |
| 2020 | Jul 24, 2020 | $2.7B | $1.1B | 587 | 373 | 122 | n/a | n/a |
| 2019 | Jul 29, 2019 | $2.8B | $1.1B | 608 | 435 | 290 | n/a | n/a |
| 2018 | Jul 11, 2018 | $2.3B | $740M | 611 | 433 | 275 | n/a | n/a |
| 2017 | Jul 28, 2017 | $1.2B | $344M | 600 | 415 | n/a | n/a | n/a |
| 2016 | Jul 21, 2016 | $1.0B | $325M | 578 | 392 | n/a | n/a | n/a |
| 2015 | Jul 30, 2015 | $909M | $277M | 578 | 392 | n/a | n/a | n/a |
| 2014 | Jul 30, 2014 | $750M | $198M | 565 | 380 | n/a | n/a | n/a |
| 2013 | Jul 29, 2013 | $619M | $144M | 650 | 398 | n/a | n/a | n/a |
| 2012 | Jul 30, 2012 | $498M | $62.6M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 11 | 11 | 0 | 2.6% | 4 | 3 | 0 | 44 | 59 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $9.7B | $5.2B | 86.9% | $4.3B | 31.8% | 571 | 598 | 278 | 286 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CASTLE WEALTH GROUP | 2 | Jul 6, 2026 | Jun 22, 2026 | LEESBURG, VA | Team lift out | Ibd to new firm | 0.5% |
| LPL FINANCIAL LLC | 3 | Mar 9, 2026 | Mar 9, 2026 | ANAHEIM, CA | Team lift out | Ibd to ibd | 0.7% |
| LPL FINANCIAL LLC | 2 | Nov 11, 2024 | Nov 13, 2024 | GLENDALE, AZ | Team lift out | Ibd to ibd | 0.5% |
| OSAIC WEALTH, INC. | 2 | Mar 14, 2024 | Feb 29, 2024 | HAYDEN, ID | Team lift out | Ibd to ibd | 0.5% |
| FIVE PINE WEALTH | 2 | Jan 19, 2022 | Jan 14, 2022 | HAYDEN, ID | Team lift out | Ibd to RIA | 0.6% |
| THEPARTNERS WEALTH MANAGEMENT | 2 | Nov 12, 2021 | Nov 16, 2021 | UPLAND, CA | Team lift out | Ibd to new firm | 0.6% |
| LPL FINANCIAL LLC | 3 | Mar 12, 2021 | Mar 22, 2021 | ROYAL OAK, MI | Team lift out | Ibd to ibd | 0.9% |
| MASON & ASSOCIATES, LLC | 4 | Oct 1, 2020 | Sep 4, 2020 | NEWPORT NEWS, VA | Team lift out | Ibd to new firm | 1.2% |
| ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | 3 | Apr 30, 2020 | May 27, 2020 | ATLANTA, GA | Team lift out | Ibd to RIA | 0.9% |
| LPL FINANCIAL LLC | 4 | Dec 4, 2019 | Dec 4, 2019 | AUBURN HILLS, MI | Team lift out | Ibd to ibd | 1.2% |
| DST WEALTH MANAGEMENT LLC | 2 | Nov 26, 2019 | Dec 9, 2019 | ANAHEIM, CA | Team lift out | Ibd to RIA | 0.6% |
| PACIFIC CREST PLANNING, INC. | 2 | Oct 31, 2019 | May 5, 2014 | YAKIMA, WA | Team lift out | Other | 0.6% |
| RBC CAPITAL MARKETS, LLC | 2 | Oct 31, 2019 | Oct 31, 2019 | ANAHEIM, CA | Team lift out | Ibd to ibd | 0.6% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Dec 10, 2018 | Dec 26, 2018 | ELKHORN, NE | Team lift out | Ibd to ibd | 0.6% |
| SECURITIES AMERICA ADVISORS, INC. | 3 | Aug 3, 2018 | Aug 27, 2018 | LEESBURG, VA | Team lift out | Ibd to ibd | 0.9% |
| MCDERMOTT INVESTMENT ADVISORS, LLC | 2 | Sep 18, 2017 | Aug 14, 2019 | ANAHEIM, CA | Team lift out | Other | 0.7% |
| GIRARD SECURITIES, INC. | 2 | Dec 2, 2015 | Dec 2, 2015 | SANTA BARBARA, CA | Team lift out | Other | 0.8% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Sep 9, 2025 | Oct 21, 2025 | MIAMI, FL | Team lift out | Ibd to ibd | 0.1% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Feb 16, 2023 | Jan 1, 2025 | ANNAPOLIS, MD | Team lift out | Ibd to ibd | 0.1% |
| USA FINANCIAL SECURITIES LLC | 6 | Jan 20, 2023 | Jan 20, 2023 | TOMBALL, TX | Team lift out | RIA to ibd | 4.5% |
| WOODBURY FINANCIAL SERVICES, INC. | 2 | Mar 16, 2022 | Jan 16, 2024 | BILOXI, MS | Team lift out | Ibd to ibd | 0.2% |
| WOODBURY FINANCIAL SERVICES, INC. | 2 | Jun 23, 2021 | Jun 17, 2021 | CHARLOTTE, NC | Team lift out | Ibd to ibd | 0.2% |
| WOODBURY FINANCIAL SERVICES, INC. | 3 | Apr 6, 2021 | Apr 5, 2021 | LAKE CHARLES, LA | Team lift out | Ibd to ibd | 0.2% |
| SUMMIT FINANCIAL GROUP INC | 2 | Jan 17, 2020 | Jan 22, 2020 | WOODLAND HILLS, CA | Team lift out | Ibd to ibd | 0.7% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Dec 19, 2018 | Jan 28, 2019 | DRAPER, UT | Team lift out | Ibd to ibd | 0.0% |
| H. BECK, INC. | 2 | Sep 22, 2017 | Sep 19, 2017 | HENDERSON, KY | Team lift out | Other | 0.7% |
| NFSG CORPORATION | 2 | Sep 18, 2017 | Sep 25, 2017 | LADY LAKE, FL | Team lift out | Other | 4.4% |
| DFPG INVESTMENTS, LLC | 2 | Aug 2, 2017 | Aug 11, 2017 | GILBERT, AZ | Team lift out | Other | 33.3% |
| AMERICAN PORTFOLIOS ADVISORS, INC | 3 | Jun 1, 2017 | Jun 1, 2017 | HOLBROOK, NY | Team lift out | Other | 0.9% |
| MML INVESTORS SERVICES, LLC | 2 | Apr 6, 2017 | Apr 4, 2017 | CONSHOHOCKEN, PA | Team lift out | Other | 0.1% |
| FINANCIAL WEST GROUP | 2 | Feb 17, 2017 | Feb 28, 2017 | IRVINE, CA | Team lift out | Other | 2.4% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Jul 20, 2016 | Jul 27, 2016 | SAN JOSE, CA | Team lift out | Other | 0.2% |
| J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC | 2 | Oct 30, 2015 | Nov 3, 2015 | INDIAN WELLS, CA | Team lift out | Other | 2.9% |
| J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC | 2 | Oct 30, 2015 | Nov 2, 2015 | FORT MEYERS, FL | Team lift out | Other | 2.9% |
| J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC | 3 | Mar 23, 2015 | Mar 24, 2015 | ATLANTA, GA | Team lift out | Other | 3.2% |