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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

CHRIS H NAUM

Advisor at CENTAURUS FINANCIAL, INC.

North Haledon, NJ

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Search this name across graphsid dfx:ria:8a43d763-19d4-ff6f-32d8-7770fb3ddbc4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 10, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CENTAURUS FINANCIAL, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 21, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Apr 21, 1994
First registration: Feb 10, 2003
Dual registered: yes, broker-dealer
Other names: CHRIS H NAUM|HRISTOS CHRIS NAUM
IAPD individual key: 2472353

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CENTAURUS FINANCIAL, INC.	Bd affiliated wealth	Nov 6, 2025	n/a	yes	North Haledon, NJ	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 6, 2025	Nov 10, 2025	no	NORTH HALEDON, NJ	Previous registration
IC ADVISORY SERVICES, INC.	Former SEC adviser	Jan 3, 2012	Mar 6, 2025	no	MAHWAH, NJ\|BEDMINSTER, NJ\|NORTH HALEDON, NJ	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Dec 16, 2005	Dec 31, 2011	no	LYNNFIELD, MA\|MAHWA, NJ\|GREENVILLE, SC\|MAHWAH, NJ\|LYNNFIELD, MA	Previous registration
LOMBARD ADVISERS INCORPORATED	Independent wealth	Feb 10, 2003	Dec 31, 2005	no	MAHWAH,, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	CENTAURUS FINANCIAL, INC.	Nov 10, 2025	Nov 6, 2025	-4	Firm change	Ibd to ibd
IC ADVISORY SERVICES, INC.	LPL FINANCIAL LLC	Mar 6, 2025	Mar 6, 2025	0	Bulk transfer	Ibd to ibd
INVESTORS CAPITAL ADVISORY	IC ADVISORY SERVICES, INC.	Dec 31, 2011	Jan 3, 2012	3	Firm change	Other
LOMBARD ADVISERS INCORPORATED	INVESTORS CAPITAL ADVISORY	Dec 31, 2005	Dec 16, 2005	-15	Firm change	Other

Relationships

Registered with (5)

→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: current employment
Nov 6, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 6, 2025 to Nov 10, 2025factForm ADV
→ IC ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jan 3, 2012 to Mar 6, 2025factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Dec 16, 2005 to Dec 31, 2011factForm ADV
→ LOMBARD ADVISERS INCORPORATEDRegistered adviserregistration: previous registration
Feb 10, 2003 to Dec 31, 2005factForm ADV

Dated events

Occurred
Nov 10, 2025
Advisor changed firm
Chris H Naum left Lpl Financial Llc for Centaurus Financial, Inc. (registered 2025-11-06)
Form ADVobserved 6 days ago