Michael M. Hurtgen

CETERA INVESTMENT ADVISERS LLC

GREENWOOD VILLAGE, CO 80111

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CRD#: 1742647

Professional summary

Michael Murphy Hurtgen is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenwood Village, Colorado and CETERA WEALTH SERVICES, LLC located in Centennial, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 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: HURTGEN INVESTMENTS LLC; DBA IS CAERUS ADVISORS INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 07/2009, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 45, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES, LTCI SINCE 05/2016; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2022; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, FIXED ANNUITIES AND LONG-TERM CARE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Murphy Hurtgen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5350 South Roslyn Street Ste 370, Greenwood Village, CO 80111

RIA

CRD#: 105644

GREENWOOD VILLAGE, CO

Current

November 1, 2017 - Present

CETERA WEALTH SERVICES, LLC

Office #2: 6312 S Fiddler's Green Circle Suite 300e, Greenwood Village, CO 80111

CRD#: 13572

CENTENNIAL, CO

Past

November 1, 2017 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CORPUS CHRISTI, TX

Past

March 8, 2016 - November 1, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

GREENWOOD VILLAGE, CO

Past

March 8, 2016 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

GREENWOOD VILLAGE, CO

Past

June 23, 2009 - March 10, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

GREENWOOD VILLAGE, CO

Past

June 19, 2009 - March 10, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENWOOD VILLAGE, CO

Past

January 1, 1999 - June 25, 2009

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

GREENWOOD VILLAGE, CO

Past

July 2, 1998 - June 25, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

GREENWOOD VILLAGE, CO

Past

January 23, 1991 - July 14, 1998

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

February 1, 1989 - February 24, 1990

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

November 25, 1987 - December 19, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(12/10/2021)

Arkansas
(11/1/2017)

Colorado
(11/1/2017)

IAR

Colorado
(6/29/2023)

Illinois
(11/1/2017)

Iowa
(1/5/2022)

Minnesota
(11/1/2017)

New Jersey
(7/9/2025)

South Carolina
(6/28/2019)

Texas
(11/1/2017)

IAR

Texas
(6/29/2023)

Virginia
(11/1/2017)

Wisconsin
(11/1/2017)

Wyoming
(1/12/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/15/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/16/1987

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: 11/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/24/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/19/2009

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Michael M. Hurtgen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Murphy Hurtgen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

U.S. BANCORP INVESTMENTS, INC.

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/15/2006

Series 63

Date: 12/16/1987

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1987

Series 10

Date: 11/24/2009

Series 9

Date: 10/19/2009

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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