Thomas Joseph Wiltz III
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Joseph Wiltz III, Thomas Joseph Wiltz, Tom Wiltz Iii
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
35 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CENTAURUS FINANCIAL, INC.
Contact Information
Main Address
2300 E. Katella Avenue Suite 200, Anaheim, CA 92806Mailing Address
2300 E. Katella Avenue Suite #200, Anaheim, CA 92806Phone Number
(714) 456-1790Established
California since 08/27/1992Firm Type
CorporationFiscal Year End
AprilFirm Size
Large# of Employees
571SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
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 | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP | 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 | SVP/CFO/FINANCIAL AND OPERATIONS PRINCIPAL | — |
Regulatory Assets Under Management
Total Number of Accounts
45,336AUM (Assets Under Management)
$9,740,127,253Disclosures
Regulatory Event
19Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
State Registrations and Notice Filings
(3/11/2022)
(3/17/2022)
(3/10/2022)
(3/11/2022)
(3/10/2022)
(3/11/2022)
(3/10/2022)
(4/12/2022)
(3/26/2024)
(3/10/2022)
(3/16/2022)
(3/10/2022)
(3/14/2022)
(3/10/2022)
(3/10/2022)
(3/10/2022)
(3/11/2022)
(3/10/2022)
(3/10/2022)
(3/14/2022)
(11/12/2025)
(6/30/2023)
(10/30/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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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).
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