Wally D. Broussard

CENTAURUS FINANCIAL

Lafayette, LA 70503

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CRD#: 1062130

Professional summary

Wally Dean Broussard is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in Lafayette, Louisiana.

Wally is registered as a RR (Registered Representative) and started their career in finance in 1982. Wally has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

OWNER, WALLY D. BROUSSARD, DBA BROUSSARD-KELLY FINANCIAL GROUP, 106 OIL CENTER DRIVE, SUITE #250, LAFAYETTE, LA 70503. NON INVESTMENT RELATED SINCE 06/1971 AND I SPEND APPROX. 40 HOURS PER MONTH ON THIS ACTIVITY. SALES AND SERVICE OF HEALTH, LONG TERM CARE AND LIFE INSURANCE AND FIXED ANNUITIES.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wally Dean Broussard'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

December 16, 2008 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 106 Oil Center Drive Suite #250, Lafayette, LA 70503

RIA

CRD#: 30833

Lafayette, LA

Past

December 22, 2008 - December 31, 2023

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

ANAHEIM, CA

Past

November 8, 2007 - December 22, 2008

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LAFAYETTE, LA

Past

December 16, 2004 - December 22, 2008

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LAFAYETTE, LA

Past

January 31, 2002 - December 31, 2004

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

April 6, 2001 - February 5, 2002

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

April 12, 1999 - April 3, 2001

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

June 8, 1987 - April 1, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

August 19, 1986 - May 14, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

June 13, 1985 - August 25, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

December 5, 1983 - July 16, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

December 5, 1983 - July 16, 1985

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

November 30, 1982 - November 10, 1983

PRUCO SECURITIES, LLC.

CRD#: 5685

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.

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

Louisiana
(12/16/2008)

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.

Exams

State Security Law Exam

Series 63

Date: 7/2/1986

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: 6/15/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/20/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1982

Investment Company Products/Variable Contracts Representative 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.

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Wally D. Broussard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wally Dean Broussard's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

ONEAMERICA SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRUCO SECURITIES, LLC.

UBS FINANCIAL SERVICES INC.

E. F. HUTTON & COMPANY INC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/2/1986

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1985

Series 22

Date: 3/20/1984

Series 6

Date: 11/29/1982

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

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