Albert R. Thiernau

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CRD#: 1354782

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.

Albert Richard Thiernau JR, AIF®, who also goes by Albert R Thiernau, Rick Thiernau Jr, was a registered financial professional .

Albert is a previously registered financial professional and started their career in finance in 1985. Albert had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Albert R Thiernau | Rick Thiernau Jr

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) FIXED INSURANCE LIFE/DISABILITY/LONG-TERM CARE 1% OF TOTAL BUSINESS (2) THIERNAU FINANCIAL SERVICES, INC; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; DBA FOR FINANCIAL AND INSURANCE SERVICES; START 7/1983; 50 HOURS/WEEK; OWNER. (3) NAME OF OTHER BUSINESS: ROOM 711 INVESTMENT RELATED: NO ADDRESS: 1560 SHERMAN AVE EVANSTON IL 60201 NATURE OF BUSINESS: CIVIC ORGANIZATION START DATE: 07/2020 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 3-4 MEETINGS PER YEAR APX NUMBER OF HOURS DURING TRADING HOURS: 3-4 MEETINGS PER YEAR BRIEF DESCRIPTION OF DUTIES: OVERSEE BOARD MEETINGS 4.NAME OF OTHER BUSINESS: ROTARY CLUB OF HOMEWOOD INVESTMENT RELATED: NO ADDRESS: PO BOX 1153 HOMEWOOD, IL 60430 START DATE: 5/2017 NATURE OF BUSINESS: NON PROFIT TO DO GOOD WORK, LOCALLY, NATIONALLY, AND INTERNATIONALLY APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: IRS CONTACT BRIEF DESCRIPTION OF DUTIES: MAIN CONTACT FOR CLUB TO IRS (5) NAME OF OTHER BUSINESS: NEW STAR; INVESTMENT RELATED: NO; ADDRESS: 1005 WEST END AVENUE, CHICAGO HEIGHTS, IL 60411; NATURE OF BUSINESS: SERVE INDIVIDUALS WITH DEVELOPMENTAL/INTELLECTUAL DISABILITIES; START DATE: 07/2019; POSITION/TITLE/RELATIONSHIP: CHAIRMAN OF THE BOARD; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: OVERSEE BOARD MEETINGS; (6) NAME OF OTHER BUSINESS: ERGAWEALTH ADVISORS, INC. - CRD #290030 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 03/2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT

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®

AIF^®

Accredited Investment Fiduciary

Experience

Past

April 23, 2021 - July 1, 2023

ERGAWEALTH ADVISORS, INC.

RIA

CRD#: 290030

Dyer, IN

Past

January 1, 2004 - July 6, 2023

CETERA ADVISORS LLC

RIA

CRD#: 10299

Crete, IL

Past

January 1, 2004 - July 6, 2023

CETERA ADVISORS LLC

CRD#: 10299

DYER, IN

Past

September 2, 1998 - January 1, 2004

VESTAX SECURITIES CORPORATION

RIA

CRD#: 10332

HUDSON, OH

Past

May 18, 1993 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

January 14, 1986 - May 19, 1993

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

May 7, 1985 - February 7, 1986

MML INVESTORS SERVICES, LLC

CRD#: 10409

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".

ERGAWEALTH ADVISORS, INC.

ERGAWEALTH ADVISORS | THIERNAU FINANCIAL SERVICES, INC. | ERGAWEALTH ADVISORS, INC.

CRD#: 290030 / SEC#: 801-123353

RIA

Registered Investment Advisory firm - (3/4/2022 Approved)

Florida

Registered Investment Advisory firm - (3/10/2022 Terminated)

Illinois

Registered Investment Advisory firm - (4/20/2022 Terminated)

Indiana

Registered Investment Advisory firm - (3/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2022 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: 12/13/1991

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: 1/18/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/6/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/1994

General Securities Principal Examination

Current Firm

ERGAWEALTH ADVISORS, INC.

ERGAWEALTH ADVISORS | THIERNAU FINANCIAL SERVICES, INC. | ERGAWEALTH ADVISORS, INC.

CRD#: 290030 / SEC#: 801-123353

RIA

Registered Investment Advisory firm - (3/4/2022 Approved)

Florida

Registered Investment Advisory firm - (3/10/2022 Terminated)

Illinois

Registered Investment Advisory firm - (4/20/2022 Terminated)

Indiana

Registered Investment Advisory firm - (3/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2022 Terminated)

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Contact information

Main Address

Oak Brook, IL

Mailing Address

Phone number

(630) 320-2078

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERGAWEALTH ADVISORS DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY (8/15/2025)

Regulatory assets under management

Total Number of Accounts	1,216
AUM (Assets Under Management)	$ 316,652,570

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Albert R. Thiernau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

VESTAX SECURITIES CORPORATION

FSC SECURITIES CORPORATION

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

ERGAWEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/1991

SIE

Date: 10/1/2018

Series 7

Date: 1/18/1986

Series 6

Date: 5/6/1985

Series 24

Date: 8/4/1994

Current Firm

ERGAWEALTH ADVISORS, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ERGAWEALTH ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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