PM
Phillip S. Mcduffee
CETERA INVESTMENT ADVISERS LLC
Austin, TX
Some features on this profile are disabled
CRD#: 2026653
PM
Professional summary
Phillip Shaun Mcduffee, ChFC®, CLU®, who also goes by Philip Shaun Mcduffee, Phillip Shawn Mcduffee, Shaun Mcduffee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Austin, Texas and CETERA WEALTH SERVICES, LLC located in Austin, Texas.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Phillip has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Philip Shaun Mcduffee | Phillip Shawn Mcduffee | Shaun Mcduffee
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. BOOK AUTHOR POSITION: Independent Contractor NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2013 ADDRESS: , Austin TX , United States DESCRIPTION: Independent Contractor 2. MCDUFFEE FAMILY FOUNDATION POSITION: Director NATURE: Business Owner INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2006 ADDRESS: , Austin TX , United States DESCRIPTION: Director 3. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2011 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Agent/Broker 4. SCOTT RICHARDS NORTH STAR CHARITABLE FOUNDATION POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2004 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Member 5. STOP ALZHEIMER'S NOW POSITION: Trustee NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 09/01/2013 ADDRESS: , Austin TX , United States DESCRIPTION: Trustee 6. TWIN OAK INSURANCE SOLUTIONS POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 11/01/2017 ADDRESS: , Austin TX , United States DESCRIPTION: Agent/Broker 7. TWIN OAK ADVISORS POSITION: Owner NATURE: Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 11/01/2021 ADDRESS: 300 Beardsley Lane, A 104, Austin TX 78733, United States DESCRIPTION: A strategic partner of North Star resource group 8. TEXAS PBA, LLC POSITION: Owner NATURE: Trainer/Teacher INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2023 ADDRESS: 1506 Patterson Rd, Austin TX 78733, United States DESCRIPTION: This is currently an empty (non-funded) LLC that is set up to enable me in the future to potentially purchase land to build an indoor pickleball facility. I would need the entity to buy land. I have nothing identified but will update OBA when/if something arises. Basically just an empty, filed LLC currently; 9. NAME OF OTHER BUSINESS: FINSECA; INVESTMENT RELATED: NO; ADDRESS: 600 13TH ST. N.W., STE 550, WASHINGTON, DC 20005; NATURE OF BUSINESS: BOARD; START DATE: 6/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND 2 ANNUAL BOARD MEETINGS FOR THE ASSOCIATION. SERVE ON A COMMITTEE THAT HAS A MONTHLY CALL; 10: NAME OF OTHER BUSINESS: GSI4DOCS , INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: DISABILITY SALES, START DATE: 12/2024, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 2, BRIEF DESCRIPTION OF DUTIES: DBA TO MARKET AND SELL GUARANTEED STANDARD ISSUE DISABILITY INSURANCE TO PHYSICIANS IN TRAINING ; 11. NAME OF OTHER BUSINESS: WELLBE, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EDUCATIONAL, START DATE: 01/2026, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 8, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: BRING AWARENESS TO THE LACK OF PHYSICIANS REACHING FINANCIAL INDEPENDENCE AND HOPE TO EMPOWER THEM TO TAKE STEPS EARLY ON TO GET ON THE RIGHT PATH
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Shaun Mcduffee'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®
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 300 Beardsley Ln Ste A104, Austin, TX 78746RIA
CRD#: 105644
Austin, TX
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 300 Beardsley Lane Suite A104, Austin, TX 78746BD
CRD#: 13572
Austin, TX
Past
August 9, 2007 - October 18, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
AUSTIN, TX
Past
June 7, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
AUSTIN, TX
Past
May 28, 2002 - September 5, 2003
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
AUSTIN, TX
Past
February 15, 1990 - September 10, 2008
MARATHON ADVISORS, INC
RIA
CRD#: 113696
MINNEAPOLIS, MN
Past
January 24, 1990 - October 18, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
AUSTIN, TX
Past
January 24, 1990 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
AUSTIN, TX
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
Alabama(8/10/2023)
RR
Alaska(8/10/2023)
RR
Arizona(8/10/2023)
RR
Arkansas(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Connecticut(8/10/2023)
RR
Delaware(8/10/2023)
RR
District of Columbia(8/10/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Hawaii(8/10/2023)
RR
Idaho(8/10/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Kentucky(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Maine(8/10/2023)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Mississippi(8/10/2023)
RR
Missouri(8/10/2023)
RR
Montana(8/10/2023)
RR
Nebraska(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Hampshire(1/4/2024)
RR
New Jersey(8/10/2023)
RR
New Mexico(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
North Dakota(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oklahoma(8/10/2023)
RR
Oregon(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
South Dakota(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Vermont(1/4/2024)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
West Virginia(1/4/2024)
RR
Wisconsin(8/10/2023)
RR
Wyoming(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
