KU
Kenneth A. Ulrich
CETERA INVESTMENT ADVISERS LLC
WILLIAMSVILLE, NY
Some features on this profile are disabled
CRD#: 1017571
KU
Professional summary
Kenneth Allan Ulrich, CFP®, who also goes by Ken Ulrich, Kenneth A Ulrich, Kenneth Ulrich, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Williamsville, New York and CETERA WEALTH SERVICES, LLC located in Williamsville, New York.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Kenneth has worked at 8 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Ulrich | Kenneth A Ulrich | Kenneth Ulrich
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) 1031 RETIREMENT SOLUTIONS, LLC POS: Member NATURE: Entity designed to hold NYS Real Estate Broker License NIR; HRS: 1; HRS: 1; 06/30/2005; 8610 Transit Road, #200, East Amherst NY 14051; Referring potential clients to other Real Estate Brokers. Receive referral commisssions if other Brokers are successful in generating revenue for those clients real estate sales ofr purchases. 2) 22 MILLER PLACE, LLC POS: Member NATURE: Previously held rental cottage-no activity now; NIR; HRS: 0; HRS: 0; 05/21/2021; 9650 Lapp Road, Clarence Center, Clarence Center NY 14032 DESC: No activities as this entity is currently inactive 3) PROGRESSIVE PLANNING SERVICES, INC. POS: Chief Executive Officer NATURE: Entity DBA for conducting financial advice, retirement planning, financial planning, including insurance and securities business with clients. IR; HRS: 160; HRS: 100 START DATE: 12/10/1986 ADDR: 8610 Transit Rd, Suite 200, East Amherst NY 14051 DESC: President- handling all administration of financial planning practice, working with clients on financial planning advice involving insurance, securities and investment advisory services. Supervising staff who assists me in the aforementioned. 4) PINNACLE FUNDING, LLC POS: Member NATURE: Ownership and rental of business equipment, furniture and computers. NIR; HRS: 1; HRS: 0 START DATE: 09/12/2005 ADDR: 109 East 17th Street, Suite 63, Cheyenne WY 82001 DESC: Managing and record keeping for rental equipment, expense payments, banking and reporting. This is the extent of my duties. 5) PUB PROPERTIES, INC POS: President NATURE: President of a corporation that is a real estate holding company for a family ranch. IR; HRS: 5; HRS: 1 START DATE: 01/06/2014 ADDR: 113 Northwest 11th Avenue, Okeechobee FL 33935 DESC: Executive officer responsible for executing documents, making financial decisions and business planning for the ranch 6) POA FOR FAMILY MEMBER POS: Power of Attorney NATURE: Becoming Power of Attorney on my Father's SEI Account and NFS Brokerage and Advisory Account; NIR; HRS: 1; HRS: 0 START DATE: 11/15/2024 ADDR: 5920 Main Street, Suite 200, Williamsville NY 14221 DESC: Receive mail, handling maintenance of account in POA capacity 7) BEARINGSTONE WEALTH, INC. POS: Founding Partner-Finacial Advisor NATURE: Used for a DBA for marketing financial services, including insurance, financial planning, fee based asset management and Broker Dealer product sales. NIR; HRS: 100; HRS: 100 START DATE: 12/31/2024 ADDR: 5920 Main Street, Suite 200, Williamsville NY 14221 DESC: Manage website, marketing material, advertising, review investment performance with clients, meet with clients. 8) FIXED INDEX ANNUITIES POS: Agent NATURE: Sale of Fixed Indexed Annuities through Avantax IR; HRS: 2; HRS: 2 START DATE: 05/27/2025 ADDR: 5920 Main Street, Williamsville NY 14221, United StatesDESC: Meet with clients and select appropriate annuity products 9) ESTATE OF TIMOTHY S. BOBERG POS: Co-Executor NATURE: Serving as Co-Executor together with my Sister for my deceased Brother-In-Law's Estate. Arranging for valuation/appraisal of assets, working with and at the instruction of attorneys for the business of the estate. NIR; HRS: 4; HRS: 3 START DATE: 03/18/2025 ADDR: 5920 Main Street, Williamsville NY 14221, United States DESC: Working with attorneys for estate plan. Obtaining valuations of assets. Signing documents by attorneys Arranging for retitling of assets
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Allan Ulrich'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®
CFP®
Start date: 1987
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WILLIAMSVILLE, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5920 Main Street, Williamsville, NY 14221BD
CRD#: 13572
Williamsville, NY
Past
May 3, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Williamsville, NY
Past
May 3, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Williamsville, NY
Past
January 9, 2018 - May 6, 2024
OSAIC FA, INC.
RIA
CRD#: 3978
EAST AMHERST, NY
Past
December 8, 2017 - May 6, 2024
OSAIC FA, INC.
BD
CRD#: 3978
EAST AMHERST, NY
Past
March 30, 2009 - December 8, 2017
SII INVESTMENTS, INC.
RIA
CRD#: 2225
WILLIAMSVILLE, NY
Past
March 30, 2009 - December 8, 2017
SII INVESTMENTS, INC.
BD
CRD#: 2225
WILLIAMSVILLE, NY
Past
January 17, 2003 - April 2, 2009
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
WILLIAMSVILLE, NY
Past
February 2, 1987 - April 2, 2009
FSC SECURITIES CORPORATION
BD
CRD#: 7461
WILLIAMSVILLE, NY
Past
February 2, 1982 - February 27, 1987
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Maryland(9/5/2025)
RR
Minnesota(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/10/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
