Timothy G. Ruecker

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CRD#: 1130825

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.

Timothy George Ruecker, who also goes by Tim Ruecker, was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1984. Timothy had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tim Ruecker

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)DBA:NIRVANA INC BUSINESS LOCATED AT BRANCH LOCATION. 2)ASCENDANT FINANCIAL SOLUTIONS-IAR.

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 9, 2016 - April 11, 2023

HEFFERNAN ADVISORY, INC.

RIA

CRD#: 116771

Phoenix, AZ

Past

February 16, 2005 - March 31, 2023

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

PHOENIX, AZ

Past

February 1, 2005 - March 31, 2023

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

PHOENIX, AZ

Past

January 18, 2000 - February 10, 2005

CETERA ADVISORS LLC

RIA

CRD#: 10299

PHOENIX, AZ

Past

September 21, 1999 - February 10, 2005

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

March 12, 1993 - October 1, 1999

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

August 30, 1990 - January 25, 1993

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

October 11, 1989 - September 14, 1990

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

November 11, 1987 - October 17, 1989

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

May 27, 1987 - October 19, 1987

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

February 15, 1985 - June 9, 1987

PLANNED INVESTMENTS INC.

CRD#: 5066

Past

March 26, 1984 - March 1, 1985

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

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".

HEFFERNAN ADVISORY, INC.

ASCENDANT FINANCIAL SOLUTIONS, INC. | NORTHERN ARIZONA ASSET MANAGEMENT, INC. | HEFFERNAN FINANCIAL | HEFFERNAN ADVISORY, INC.

CRD#: 116771 / SEC#: 801-67175

RIA

Registered Investment Advisory firm - (9/19/2006 Approved)

Arizona

Registered Investment Advisory firm - (10/2/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

State Security Law Exam

Series 63

Date: 3/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/23/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/6/2000

General Securities Principal Examination

Current Firm

HEFFERNAN ADVISORY, INC.

ASCENDANT FINANCIAL SOLUTIONS, INC. | NORTHERN ARIZONA ASSET MANAGEMENT, INC. | HEFFERNAN FINANCIAL | HEFFERNAN ADVISORY, INC.

CRD#: 116771 / SEC#: 801-67175

RIA

Registered Investment Advisory firm - (9/19/2006 Approved)

Arizona

Registered Investment Advisory firm - (10/2/2006 Terminated)

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Contact information

Main Address

809 W. Riordan Road Suite 104, Flagstaff, AZ 86001

Mailing Address

Phone number

(928) 774-9598

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (12/1/2025)

Regulatory assets under management

Total Number of Accounts	599
AUM (Assets Under Management)	$ 315,874,872

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

Timothy G. Ruecker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

THE ADVISORS GROUP, INC.

KEOGLER, MORGAN & COMPANY, INC.

LINSCO FINANCIAL GROUP, INC.

CETERA WEALTH SERVICES, LLC

PLANNED INVESTMENTS INC.

LOWRY FINANCIAL SERVICES CORPORATION

Primary Firm SEC Registration

HEFFERNAN ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/30/1984

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 6

Date: 3/23/1984

Series 24

Date: 1/6/2000

Current Firm

HEFFERNAN ADVISORY, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEFFERNAN ADVISORY, INC.

TRUST BUT VERIFY

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