RW
Rick D. Wurst
CWM
Paynesville, MN
Some features on this profile are disabled
CRD#: 1928741
RW
Professional summary
Rick Donald Wurst, who also goes by Frederick Donald Wurst, Rick Wurst, is a registered financial advisor currently at CWM, LLC located in Paynesville, Minnesota and CETERA INVESTMENT ADVISERS LLC located in Paynesville, Minnesota.
Rick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Rick has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 51, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frederick Donald Wurst | Rick Wurst
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: CWM, LLC DBA CARSON GROUP PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 01/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR PROVIDING ADVISORY SERVICES TO ITS CLIENTS, INCLUDING DISCRETIONARY INVESTMENT MANAGEMENT AND FINANCIAL GUIDANCE. 2. NAME OF OTHER BUSINESS: ST. CLOUD FEDERAL CREDIT UNION INVESTMENT RELATED: NO ADDRESS: 3030 1ST STREET S ST. CLOUD MN 56301 NATURE OF BUSINESS: CREDIT UNION START DATE: 02/1991 POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: VICE-CHAIR DIRECTOR - RESPONSIBLE FOR THE OVERSIGHT OF THE CEO AND THE CREDIT UNION. ENSURE THE CREDIT UNION IS FOLLOWING ALL POLICIES AND PROCEDURES ; 3. NAME OF OTHER BUSINESS: MAG TAX AND ACCOUNTING, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX AND ACCOUNTING; START DATE: 07/2023; POSITION/TITLE/RELATIONSHIP: TAX PREPARER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PREPARE TAXES FOR INDIVIDUALS;
CRS (Client Relationship Summary) - RIA
Click below to view Rick Donald Wurst'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
January 29, 2018 - Present
CWM, LLC
RIA
CRD#: 155344
Paynesville, MN
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Paynesville, MN
Current
January 29, 2018 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 14600 Branch Street, Omaha, NE 68154BD
CRD#: 13572
Omaha, NE
Past
January 29, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
PAYNESVILLE, MN
Past
January 30, 2014 - January 29, 2018
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
WILLMAR, MN
Past
May 21, 2010 - January 29, 2018
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WILLMAR, MN
Past
January 9, 2000 - May 3, 2010
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FARGO, ND
Past
May 7, 1997 - September 16, 1999
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
January 11, 1994 - April 16, 1997
VOYAGEUR INVESTMENTS, INC.
BD
CRD#: 22544
Past
May 26, 1993 - November 17, 1993
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
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
Minnesota(1/29/2018)
IAR
Minnesota(1/29/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
