RW
Robert F. Walsh
CENTAURUS FINANCIAL
Shelton, CT 06484
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CRD#: 1236262
RW
Professional summary
Robert Francis Walsh is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Shelton, Connecticut.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Robert has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
1. CT INSTITUTE OF FINANCE, NON-INVESTMENT RELATED, 4749 MAIN ST., BRIDGEPROT, CT 06606, SELLING PROPERTY AND CASUALTY INSURANCE, PRESIDENT, SINCE 8/1/2019, DEVOTED TIME IS 20 HOURS A MONTH, TALK TO CURRENT CLIENTS ABOUT HOMEOWNERS, AUTO AND BUSINESS INSURANCE.
2. CT INSTITUTE OF FINANCE, NON-INVESTMENT RELATED, 4749 MAIN ST., BRIDGEPORT, CT 06606, DBA FOR MARKETING AND BRANDING PURPOSES, IAR, SINCE 4/18/2012.
3.TAX PREPARER, CT INSTITUTE OF FINANCE, 4749 MAIN STREET, BRIDGEPORT, CT 06606. NON INVESTMENT RELATED SINCE 01/2003 AND I SPEND APPROX. 240 HOURS FROM JAN-APR. TAX PREPARATION.
4. COACH, SOUND COACHING INC.4749 MAIN STREET, BRIDEGPORT, CT 06606. NON INVESTMENT RELATED SINCE 01/2009 AND I SPEND APPROX. 120 HOURS PER MONTH ON THIS ACTIVITY. COACING CLIENTS AND SMALL BUSINESS.
5. SOUND COACHING INC. KEYNOTE SPEAKER, RADIO SHOW HOST NON FINANCIAL.
6. CT INSTITUTE OF FINANCE. TAX PREPARATION. NOT SECURITIES RELATED. START DATE 10/1/2004. PRESIDENT, 40% OWNERSHIP. 240 HOURS DEVOTED FROM FEBRUARY TO APRIL, 8-10 HOURS DEVOTED DURING MARKET HOURS FROM FEB-APRIL.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Francis Walsh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Francis Walsh's 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®
NoneExperience
Current
May 31, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 231 Coram Avenue, Shelton, CT 06484RIA
BD
CRD#: 30833
Shelton, CT
Current
May 31, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 231 Coram Avenue, Shelton, CT 06484RIA
BD
CRD#: 30833
Shelton, CT
Past
March 28, 2013 - June 1, 2017
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
February 23, 2011 - May 31, 2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
BRIDGEPORT, CT
Past
March 27, 2008 - January 11, 2017
SOUND ASSET MANAGEMENT GROUP, LLC
RIA
CRD#: 145330
BRIDGEPORT, CT
Past
January 25, 2008 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
BRIDGEPORT, CT
Past
July 26, 2005 - March 28, 2008
SOUND ASSET MANAGEMENT, INC.
RIA
CRD#: 133871
BRIDGEPORT, CT
Past
December 9, 2002 - December 31, 2004
PFA/PINNACLE FINANCIAL ADVISORS
RIA
CRD#: 123235
WHITE PLAINS, NY
Past
December 2, 2002 - January 24, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
DARIEN, CT
Past
January 20, 1999 - September 27, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
December 1, 1997 - January 13, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 7, 1993 - December 5, 1994
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
Past
August 9, 1991 - November 16, 1992
BGC FINANCIAL, L.P.
BD
CRD#: 19801
NEW YORK, NY
Past
September 7, 1989 - January 16, 1990
SANWA SECURITIES (USA) CO., L.P.
BD
CRD#: 19697
NEW YORK, NY
Past
November 6, 1984 - March 11, 1985
FIRSTMARK SECURITIES, INC.
BD
CRD#: 13184
Past
October 26, 1984 - November 26, 1984
BARRON, MARSHALL & KAMEN CO., INC.
BD
CRD#: 2390
Past
January 26, 1984 - October 3, 1984
ZELLER, TORYKIAN & CO. INC.
BD
CRD#: 10041
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".
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
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.RR
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
RR
Arizona(5/31/2017)
IAR
Arizona(6/1/2017)
RR
California(5/31/2017)
IAR
California(6/11/2021)
RR
Connecticut(5/31/2017)
IAR
Connecticut(5/31/2017)
RR
Delaware(5/31/2017)
IAR
Delaware(6/7/2017)
RR
Florida(5/31/2017)
IAR
Florida(6/1/2017)
RR
Georgia(5/31/2017)
IAR
Georgia(6/5/2017)
RR
Maine(1/2/2019)
IAR
Maine(1/3/2019)
RR
Maryland(9/21/2023)
IAR
Maryland(9/22/2023)
RR
Massachusetts(5/31/2017)
IAR
Massachusetts(7/31/2017)
RR
Nevada(6/12/2017)
IAR
Nevada(8/17/2025)
RR
New Hampshire(8/11/2021)
IAR
New Hampshire(8/18/2021)
RR
New Jersey(5/31/2017)
IAR
New Jersey(6/2/2017)
RR
New York(5/31/2017)
IAR
New York(11/1/2021)
RR
North Carolina(5/31/2017)
IAR
North Carolina(1/2/2019)
RR
Pennsylvania(5/28/2020)
IAR
Pennsylvania(6/3/2020)
RR
South Carolina(5/31/2017)
RR
Tennessee(2/26/2019)
RR
Texas(7/31/2020)
IAR
Texas(7/31/2020)
RR
Virginia(5/31/2017)
IAR
Virginia(6/1/2017)
RR
Wyoming(5/10/2024)
IAR
Wyoming(5/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
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)
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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Shelton, CT 06484TRUST BUT VERIFY
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