Charles Wurdack
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.
Charles Wurdack, who also goes by Charles J Wurdack, Charles J S Wurdack, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 16 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - April 29, 2025
CETERA INVESTMENT ADVISERS LLC
July 26, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
July 26, 2022 - April 29, 2025
CETERA WEALTH SERVICES, LLC
December 22, 2020 - August 12, 2022
KEY INVESTMENT SERVICES LLC
December 22, 2020 - August 12, 2022
KEY INVESTMENT SERVICES LLC
November 23, 2020 - December 4, 2020
THURSTON SPRINGER ADVISORS
January 7, 2020 - November 23, 2020
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
January 7, 2020 - December 4, 2020
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
November 21, 2018 - December 31, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
November 19, 2018 - December 31, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
February 14, 2017 - July 12, 2017
CAPITAL ONE ADVISORS, LLC
February 8, 2017 - July 12, 2017
CAPITAL ONE INVESTING, LLC
October 3, 2015 - January 6, 2017
PNC WEALTH MANAGEMENT LLC
October 1, 2015 - January 6, 2017
PNC WEALTH MANAGEMENT LLC
May 11, 2011 - March 14, 2014
HIGHTOWER ADVISORS, LLC
October 25, 2010 - March 14, 2014
HIGHTOWER SECURITIES, LLC
January 23, 2007 - October 25, 2010
GE INVESTMENT DISTRIBUTORS, INC
October 1, 1995 - October 17, 1996
VOYA FINANCIAL ADVISORS, INC.
January 1, 1990 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
January 8, 1985 - November 25, 1987
FINANCIAL ESTATE PLANNING, INC.
June 25, 1984 - December 14, 1984
PFS INVESTMENTS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
