TW
Thomas J. Wiltz
CENTAURUS FINANCIAL
Biloxi, MS 39531
Some features on this profile are disabled
CRD#: 2146135
TW
Professional summary
Thomas Joseph Wiltz III, who also goes by Thomas Joseph Wiltz, Tom Wiltz III, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Biloxi, Mississippi.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Joseph Wiltz | Tom Wiltz Iii
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. Platinum Capital Advisors, non-investment related, 2574 Marcia Ct., Suite B, Biloxi, MS 39531, life insurance, fixed annuities, immediate annuities, owner/advisor, since 01/01/2000, devoted time is 25 hours a month, place clients in the appropriate life insurance and annuity products for their unique and individual situations. 2. Platinum Capital Advisors, non-investment related, 2574 Marcia Ct., Suite B, MS 39531, DBA for branding purposes, owner/advisor, since 01/01/2000.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Wiltz III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Wiltz III'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
March 10, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2574 Marcia Court Suite B, Biloxi, MS 39531RIA
BD
CRD#: 30833
Biloxi, MS
Current
March 10, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2574 Marcia Court Suite B, Biloxi, MS 39531RIA
BD
CRD#: 30833
Biloxi, MS
Past
March 1, 2019 - March 16, 2022
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
Biloxi, MS
Past
March 1, 2019 - March 16, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
Biloxi, MS
Past
December 2, 2016 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
BILOXI, MS
Past
November 21, 2016 - November 23, 2016
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
BILOXI, MS
Past
November 21, 2016 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
Biloxi, MS
Past
September 8, 2010 - December 1, 2016
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
BILOXI, MS
Past
September 1, 2010 - December 1, 2016
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
BILOXI, MS
Past
February 14, 2000 - September 7, 2010
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
BILOXI, MS
Past
December 23, 1999 - September 7, 2010
FSC SECURITIES CORPORATION
BD
CRD#: 7461
BILOXI, MS
Past
June 11, 1991 - December 23, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 11, 1991 - December 23, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
IAR
Alabama(3/11/2022)
RR
Alabama(3/17/2022)
RR
California(3/10/2022)
IAR
California(3/11/2022)
RR
Florida(3/10/2022)
IAR
Florida(3/11/2022)
RR
Georgia(3/10/2022)
IAR
Georgia(4/12/2022)
RR
Indiana(3/26/2024)
RR
Louisiana(3/10/2022)
IAR
Louisiana(3/16/2022)
RR
Michigan(3/10/2022)
IAR
Michigan(3/14/2022)
RR
Mississippi(3/10/2022)
IAR
Mississippi(3/10/2022)
RR
Ohio(3/10/2022)
IAR
Ohio(3/11/2022)
RR
Pennsylvania(3/10/2022)
RR
Texas(3/10/2022)
IAR
Texas(3/14/2022)
RR
Utah(11/12/2025)
RR
Virginia(6/30/2023)
RR
West Virginia(10/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
