RW
Roger N. Walker
CENTAURUS FINANCIAL
Union City, TN
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CRD#: 5715047
RW
Professional summary
Roger Neil Walker, who also goes by Roger Walker, Roger N Walker, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Union City, Tennessee.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Roger has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Neil Walker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roger Neil 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
June 7, 2018 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
CRD#: 30833
Union City, TN
Current
June 7, 2018 - Present
CENTAURUS FINANCIAL, INC.
RIA
BD
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
BD
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
BD
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.
BD
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".
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
Louisiana(6/7/2018)
IAR
Louisiana(6/7/2018)
RR
Nevada(10/14/2021)
IAR
Nevada(10/14/2021)
RR
Tennessee(6/7/2018)
IAR
Tennessee(6/11/2018)
RR
Texas(6/7/2018)
IAR
Texas(6/7/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
