Roger N. Walker

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CRD#: 5715047

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Roger Neil Walker, who also goes by Roger Walker, Roger N Walker, was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 2009. Roger had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Roger Walker | Roger N 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.

WALKER WEALTH MANAGMENT, LLC, NON-INVESTMENT RELATED, UNION CITY, TN 38261, DBA, OWNER SINCE, 01/01/2014, FIXED INSURANCE PRODUCTS. PRIME MARKETING SERVICES, NON-INVESTMENT RELATED, UNION CITY, TN 38261, PROVIDE SMALL BUSINESSES WITH CONSULTATIVE SERVICES TO INCREASE SALES AND BRAND AWARNESS, OWNER, SINCE 12/01/2017, DEVOTED TIME IS 5 HOURS A MONTH, USE KNOWLEDGE OF LANDING PAGES RETARGETING, SOCIAL MEDIA ADVERTISING AND SALES FUNNELS TO SELL NON-SECURITY PRODUCTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 7, 2018 - August 21, 2026

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

Union City, TN

Past

June 7, 2018 - August 21, 2026

CENTAURUS FINANCIAL, INC.

CRD#: 30833

Union City, TN

Past

September 15, 2016 - May 31, 2018

CSENGE ADVISORY GROUP, LLC

RIA

CRD#: 131167

Franklin, TN

Past

October 23, 2014 - June 27, 2016

THE RETIREMENT GROUP, LLC

RIA

CRD#: 148296

MARTIN, TN

Past

October 2, 2014 - June 4, 2018

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

MEMPHIS, TN

Past

October 1, 2014 - June 4, 2018

FSC SECURITIES CORPORATION

CRD#: 7461

MEMPHIS, TN

Past

May 2, 2013 - October 1, 2014

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MARTIN, TN

Past

April 12, 2013 - October 1, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

MARTIN, TN

Past

July 23, 2010 - April 8, 2013

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

MARTIN, TN

Past

October 6, 2009 - April 8, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

MARTIN, TN

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".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

What does exam status mean?

State Security Law Exam

Series 65

Status Unavailable

Passed: 7/6/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 10/2/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 4/5/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 10/5/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

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

571

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

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 (7/28/2026)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/28/2026)

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	45,336
AUM (Assets Under Management)	$ 9,740,127,253

Disclosures

Regulatory Event	19
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.

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Advisor Monitoring

Firm Stability Insights

Roger N. Walker

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

CSENGE ADVISORY GROUP, LLC

THE RETIREMENT GROUP, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Passed: 7/6/2010

Series 63

Passed: 10/2/2009

SIE

Passed: 10/1/2018

Series 7

Passed: 4/5/2011

Series 6

Passed: 10/5/2009

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

TRUST BUT VERIFY

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