TW
Troy K. Walker
CENTAURUS FINANCIAL
DRAPER, UT 84020
Some features on this profile are disabled
CRD#: 4542451
TW
Professional summary
Troy Kent Walker, who also goes by Troy K. Walker, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Draper, Utah.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Troy has worked at 2 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Troy K. 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. Troy K. Walker, P.C., non-investment related, 12339 South 800 East, Draper, Utah 84020, criminal defense, trust and estates, Attorney/President, since 10/1996, devoted time is 100 hours a month, practicing attorney for criminal defense, estate planning and civil litigation. 2. Mayor, Draper City Utah, non-investment related, 1020 East Pioneer Road, Draper, Utah 84020, political leader/mayor, since 01/2014, devoted time is 25 hours a month, chair draper city council and represent city in all matters. 3. CORNER CANYON FINANCIAL SERVICES LLC POSITION: Member NATURE: DBA for marketing purposes INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2024 ADDRESS: 136 West 12300 South, Suite 201, Draper UT 84020, United States DESCRIPTION: DBA for marketing purposes
CRS (Client Relationship Summary) - RIA
Click below to view Troy Kent Walker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Troy Kent 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
February 7, 2022 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 136 W. 12300 S Suite #201, Draper, UT 84020RIA
BD
CRD#: 30833
DRAPER, UT
Current
November 1, 2021 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 136 W. 12300 S Suite #201, Draper, UT 84020RIA
BD
CRD#: 30833
DRAPER, UT
Past
July 9, 2002 - September 19, 2002
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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
Colorado(7/30/2024)
IAR
Colorado(7/30/2024)
RR
Nevada(7/31/2024)
IAR
Nevada(7/31/2024)
RR
New Mexico(7/30/2024)
IAR
New Mexico(7/31/2024)
RR
North Dakota(1/8/2025)
IAR
North Dakota(1/17/2025)
RR
Utah(1/31/2022)
IAR
Utah(2/7/2022)
RR
Wyoming(7/30/2024)
IAR
Wyoming(7/31/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/1/2021
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.
