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WR

William G. Rowett

CENTAURUS FINANCIAL
Derry, NH
Some features on this profile are disabled
CRD#: 5118940
WR

Professional summary

William G. Rowett III, who also goes by William G Rowett III, William G Rowett, William George Rowett, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Derry, New Hampshire.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. William has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

William G Rowett Iii | William G Rowett | William George Rowett

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William G. Rowett III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William G. Rowett III's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 2, 2020 - Present

CENTAURUS FINANCIAL, INC.

RIA
BD
CRD#: 30833
Derry, NH
Current

January 3, 2020 - Present

CENTAURUS FINANCIAL, INC.

RIA
BD
CRD#: 30833
Derry, NH
Past

September 5, 2014 - December 31, 2019

OSAIC SERVICES, INC.

RIA
CRD#: 133763
SUNAPEE, NH
Past

September 2, 2014 - December 31, 2019

OSAIC SERVICES, INC.

BD
CRD#: 133763
SUNAPEE, NH
Past

July 6, 2010 - September 17, 2014

CENTAURUS FINANCIAL, INC.

RIA
CRD#: 30833
NEW LONDON, NH
Past

July 2, 2010 - September 17, 2014

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
NEW LONDON, NH
Past

July 31, 2007 - July 12, 2010

LPL FINANCIAL LLC

RIA
CRD#: 6413
CLAREMONT, NH
Past

July 25, 2007 - July 12, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
CLAREMONT, NH
Past

April 9, 2007 - December 8, 2010

NORTHEAST PLANNING ASSOCIATES, INC.

RIA
CRD#: 131406
BEDFORD, NH
Past

January 9, 2007 - December 31, 2007

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
CLAREMONT, NH
Past

June 9, 2006 - September 6, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

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
Arizona
(1/3/2020)
IAR
Arizona
(4/27/2022)
RR
Connecticut
(10/29/2025)
RR
Massachusetts
(1/6/2020)
IAR
New Hampshire
(1/2/2020)
RR
New Hampshire
(1/3/2020)
RR
South Carolina
(10/20/2022)
RR
Utah
(7/28/2025)
RR
Vermont
(1/3/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/28/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/16/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/8/2006
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)
CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

Direct owners and executive officers

NamePositionCRD#
FEDERATION OF FINANCIAL SERVICESOWNER
KREMER, STEPHEN MARKOWNER1188829
RUBINO, MICHAEL PETEROWNER1188940
DUHOVIC, JEROME VICTORCHIEF COMPLIANCE OFFICER2123754
DUHOVIC, JEROME VICTORDIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER2123754
KING, JAMES RONALD SRDIRECTOR/CHAIRMAN OF THE BOARD/CEO269927
KING, PAUL JDIRECTOR/GENERAL COUNSEL5017845
KING, WESTLEY HAYESDIRECTOR/PRESIDENT2527676
LEJMAN, SHERI JCFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER

Regulatory assets under management

Total Number of Accounts38,049
AUM (Assets Under Management)$ 7,336,108,151

Disclosures

Regulatory Event18
Arbitration8

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#: 30833Derry, NH

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