WR
William F. Rugen
CETERA INVESTMENT ADVISERS LLC
Port Jefferson, NY 11777
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CRD#: 1689041
WR
Professional summary
William F Rugen is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Port Jefferson, New York and CETERA WEALTH SERVICES, LLC located in Port Jefferson, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. William has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 6/1986 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: WILLIAM F RUGEN INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX PREPARATION START DATE: 1/1996 POSITION/TITLE/RELATIONSHIP: INCOME TAX PREPARER APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 4 BRIEF DESCRIPTION OF DUTIES: COMPLETE 1040 INDIVIDUAL TAX RETURN PREPARATION DURING TAX SEASON, FEBRUARY 1ST TO APRIL 15TH EACH YEAR. HOURS WORKING IS DURING TAX SEASON ONLY. VERY LITTLE TIME SPENT ON INCOME TAX PREPARATION AFTER TAX SEASON DURING THE YEAR; 3. NAME OF OTHER BUSINESS: ECONOMIC PLANNING GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE RELATED PRODUCTS, LIFE, DISABILITY, FIXED ANNUITIES START DATE: 1/2024 POSITION/TITLE/RELATIONSHIP: PRIVATE WEALTH MANAGER APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: ALL INSURANCE RELATED SALES AND SERVICE;
CRS (Client Relationship Summary) - RIA
Click below to view William F Rugen'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®
NoneExperience
Current
February 1, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1000 Main Street Suite 1, Port Jefferson, NY 11777RIA
CRD#: 105644
Port Jefferson, NY
Current
February 1, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1000 Main Street Suite 1, Port Jefferson, NY 11777BD
CRD#: 13572
Port Jefferson, NY
Past
June 14, 2021 - February 2, 2024
OSAIC FA, INC.
RIA
CRD#: 3978
PORT JEFFERSON, NY
Past
November 22, 2019 - February 2, 2024
OSAIC FA, INC.
BD
CRD#: 3978
PORT JEFFERSON, NY
Past
January 3, 2011 - November 26, 2019
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HAUPPAUGE, NY
Past
July 8, 1987 - January 10, 2011
EQUITY SERVICES, INC.
BD
CRD#: 265
HAUPPAUGE, NY
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
California(2/1/2024)
RR
Connecticut(2/1/2024)
RR
Florida(2/1/2024)
RR
Maine(2/1/2024)
RR
Nevada(2/1/2024)
RR
New Jersey(2/1/2024)
RR
New York(2/1/2024)
IAR
New York(2/1/2024)
RR
North Carolina(2/1/2024)
RR
Pennsylvania(2/1/2024)
RR
Rhode Island(2/1/2024)
RR
South Carolina(2/1/2024)
RR
Texas(2/1/2024)
IAR
Texas(2/2/2024)
RR
Virginia(4/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
