RW
Robert E. Walker
CENTAURUS FINANCIAL
Irvington, VA
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CRD#: 2982667
RW
Professional summary
Robert E Walker, who also goes by Bob Walker, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Irvington, Virginia.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Walker
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. WEALTH PLANNING SOLUTIONS, LLC, NON-INVESTMENT REALTED, 816 RAPPAHANNOCK DRIVE, WHITE STONE, VA 22578, FOR DBA PURPOSES, SALES AND SERVICING OF LIFE, HEALTH, LONGTERM CARE AND FIXED ANNUITY PRODUCTS, MANAGING PARTNER, SINCE 2/1/2008, DEVOTED TIME IS 40 HOURS A MONTH, SALES OF INSURANCE PRODUCTS, MARKETING THROUGH EDUCATIONAL SEMINAR PRESENTATIONS, DEVELOPING NEW CLIENT ACCOUNTS.
2. NANOPHARM, LLC, NON-INVESTMENT RELATED, P.O. BOX 720, IRVINGTON, VA 22480, INVESTMENT IN A PHARMACEUTICAL STARTUP, GENERAL PARTNER.
CRS (Client Relationship Summary) - RIA
Click below to view Robert E Walker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert E Walker'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 23, 2020 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Irvington, VA
Current
March 23, 2020 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Irvington, VA
Past
May 31, 2019 - February 18, 2020
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
KILMARNOCK, VA
Past
May 31, 2019 - February 18, 2020
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
KILMARNOCK, VA
Past
February 20, 2019 - May 15, 2019
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
WHITE STONE, VA
Past
July 2, 2015 - May 15, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
WHITE STONE, VA
Past
December 4, 1997 - August 22, 2008
OSAIC FS, INC.
BD
CRD#: 3870
WHITE STONE, VA
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
Florida(4/28/2020)
IAR
Florida(3/4/2022)
IAR
Massachusetts(5/27/2020)
RR
South Carolina(5/12/2020)
RR
Virginia(3/23/2020)
IAR
Virginia(3/23/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/15/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
