Rory J. Kuhn
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.
Rory John Kuhn, CFP®, who also goes by John Kuhn, R John Kuhn, Rory John Kuhn, was a registered financial professional .
Rory is a previously registered financial professional and started their career in finance in 1987. Rory had worked at 18 firms and has passed the Series 63, Series 6TO, SIE, Series 7 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
Start date: 2001
Experience
September 5, 2025 - October 13, 2025
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - October 13, 2025
CETERA WEALTH SERVICES, LLC
January 14, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
January 14, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
June 16, 2021 - January 13, 2022
CETERA WEALTH SERVICES, LLC
June 16, 2021 - January 13, 2022
CETERA WEALTH SERVICES, LLC
October 16, 2018 - March 10, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 16, 2018 - March 10, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 21, 2014 - October 10, 2017
LPL FINANCIAL LLC
November 21, 2014 - October 10, 2017
LPL FINANCIAL LLC
October 31, 2013 - December 8, 2014
FIFTH THIRD SECURITIES, INC.
October 31, 2013 - December 8, 2014
FIFTH THIRD SECURITIES, INC.
March 11, 2013 - September 18, 2013
LPL FINANCIAL LLC
October 1, 2012 - March 1, 2013
AMERISERV WEALTH ADVISORS INC
August 30, 2012 - September 18, 2013
LPL FINANCIAL LLC
June 7, 2010 - August 1, 2012
ESSEX NATIONAL SECURITIES, LLC
May 28, 2010 - August 1, 2012
ESSEX NATIONAL SECURITIES, LLC
March 11, 2010 - June 2, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
March 11, 2010 - June 2, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
August 27, 2007 - February 23, 2010
PNC WEALTH MANAGEMENT LLC
August 27, 2007 - February 23, 2010
PNC WEALTH MANAGEMENT LLC
September 21, 1999 - May 22, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 13, 1997 - July 16, 1999
INVESCO DISTRIBUTORS, INC.
January 13, 1995 - September 19, 1995
U.S. BANCORP INVESTMENTS, INC.
March 12, 1992 - July 21, 1993
IDS LIFE INSURANCE COMPANY
March 12, 1992 - July 21, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 1987 - March 31, 1988
WADDELL & REED
April 18, 1987 - April 23, 1987
ASPEN CAPITAL GROUP, INCORPORATED
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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.
