WG
Walter J. Goeltz
CENTAURUS FINANCIAL
Henderson, KY 42420
Some features on this profile are disabled
CRD#: 3188154
WG
Professional summary
Walter Joseph Goeltz III, who also goes by Joe Goeltz, Joseph Goeltz, Walter Joseph Goeltz, Walter J Goeltz, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Henderson, Kentucky.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Walter has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Goeltz | Joseph Goeltz | Walter Joseph Goeltz | Walter J Goeltz
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. BLUEGRASS MANAGEMENT CONSULTANTS LLC, INVESTMENT RELATED, 230 2ND ST., SUITE #501, HENDERSON, KY 42420, OWN RENTAL PROPERTY, MEMBER, SINCE 9/1/2018, DEVOTED TIME IS ONE HOUR A MONTH, PASSIVE RENTAL PROPERTY OWNERSHIP. 2. WEALTH & HEALTH, LLC, NON-INVESTMENT RELATED, 230 2ND ST., SUITE #500, HENDERSON, KY 42420, PAYROLL AND TAXES, DEVOTED TIME IS <1 HOUR A MONTH. 3. LIFE PLAN TAX SOLUTIONS, NON-INVESTMENT RELATED, SEBREE, KY 42455, TAX PLANNING, MEMBER, SINCE 9/21/2021, MEMBER OF LLC AND ADMINISTRATIVE ONLY AT THIS TIME. 4. LIFE PLAN INVESTMENTS LLC POSITION: owner NATURE: dba for branding purposes only INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/07/2011 ADDRESS: 230 2nd Street, Suite 500, Henderson KY 42420, United States DESCRIPTION: dba for branding purposes only 5. WEALTHY AND HEALTHY LLC(DBA LIFE PLAN BUSINESS SOLUTIONS) POSITION: Member NATURE: bookkeeping, tax and payroll INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/13/2018 ADDRESS: 230 2nd Street, Ste. 500, Henderson KY 42420, United States DESCRIPTION: member of LLC 6. LIFE PLAN INSURANCE SOLUTIONS LLC POSITION: Member NATURE: Branding purposes only for insurance sales through CFI. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 143 Ashby Ln, Sebree KY 42455, United States DESCRIPTION: Member of LLC. Administrative only.
CRS (Client Relationship Summary) - RIA
Click below to view Walter Joseph Goeltz III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Walter Joseph Goeltz 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
September 18, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 230 2nd Street Suite #500, Henderson, KY 42420RIA
BD
CRD#: 30833
Henderson, KY
Current
September 18, 2017 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 230 2nd Street Suite #500, Henderson, KY 42420RIA
BD
CRD#: 30833
Henderson, KY
Past
May 23, 2011 - September 22, 2017
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
HENDERSON, KY
Past
May 23, 2011 - September 22, 2017
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
HENDERSON, KY
Past
June 1, 2009 - June 3, 2011
MORGAN STANLEY
RIA
CRD#: 149777
EVANSVILLE, IN
Past
June 1, 2009 - June 3, 2011
MORGAN STANLEY
BD
CRD#: 149777
EVANSVILLE, IN
Past
April 3, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
EVANSVILLE, IN
Past
April 3, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
EVANSVILLE, IN
Past
January 19, 2007 - April 6, 2009
EDWARD JONES
RIA
CRD#: 250
MT VERNON, IN
Past
April 21, 1999 - April 6, 2009
EDWARD JONES
BD
CRD#: 250
MT VERNON, IN
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
California(3/4/2021)
RR
California(3/5/2021)
RR
Florida(9/18/2017)
IAR
Florida(9/19/2017)
RR
Illinois(9/18/2017)
IAR
Illinois(9/19/2017)
IAR
Indiana(9/18/2017)
RR
Indiana(9/25/2017)
RR
Kentucky(9/18/2017)
IAR
Kentucky(9/18/2017)
RR
Massachusetts(11/27/2023)
IAR
Massachusetts(1/9/2024)
RR
Michigan(9/18/2017)
IAR
Michigan(9/20/2017)
RR
Tennessee(2/6/2019)
RR
Texas(9/29/2020)
IAR
Texas(9/29/2020)
Exams
State Security Law Exam
State Security Law Exam
General 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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Henderson, KY 42420TRUST BUT VERIFY
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