VU
Vernon F. Ullmann
CETERA INVESTMENT ADVISERS LLC
BRYAN, TX 77802
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CRD#: 2042969
VU
Professional summary
Vernon Foster Ullmann, who also goes by Foster Ullmann, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bryan, Texas and CETERA INVESTMENT SERVICES LLC located in Bryan, Texas.
Vernon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Vernon has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Foster Ullmann
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.)PRESIDENT- ROTARY CLUB AGGIELAND. 3 HRS WK/0 COMP 2. IMMEDIATE PAST PRESIDENT- ROTARY CLUB OF AGGIELAND, ATTEND BOARD MTGS, PARTICIPATE IN CLUB ACTIVITIES, ONE OF 3 W/SIGNATURE AUTHORITY ON CHECKING ACCOUNT-2 SIGNORS REQ'D. 1 HR WK 3. AGGIELAND HUMANE SOCIETY PET SHELTER - ATTEND BOARD MTGS, REVIEW POLICY, PARTICIPATE IN FUNDRAISING ACTIVITIES. 1 HR WK. 4. PRESIDENT AND FINANCIAL ADVISOR OF FUNDAMENTAL WEALTH ADVSIORS; DBA FOR CETERA BUSINESS
CRS (Client Relationship Summary) - RIA
Click below to view Vernon Foster Ullmann'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 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1716 Briarcrest Drive Suite 730, Bryan, TX 77802RIA
CRD#: 105644
BRYAN, TX
Current
January 4, 1996 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1716 Briarcrest Drive, Ste 810, Bryan, TX 77802BD
CRD#: 15340
BRYAN, TX
Past
January 2, 1996 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
COLLEGE STATION, TX
Past
July 7, 1992 - December 15, 1995
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
July 9, 1990 - March 31, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Arizona(5/5/2025)
RR
California(4/27/2023)
RR
Florida(1/2/2020)
RR
Georgia(10/12/2007)
RR
Idaho(3/23/2018)
RR
Illinois(12/10/2024)
RR
Indiana(11/2/2023)
RR
Iowa(11/13/2020)
RR
Kentucky(2/6/2024)
RR
Louisiana(5/19/2021)
RR
Massachusetts(12/15/2020)
RR
Michigan(5/6/2025)
RR
Minnesota(1/5/2024)
RR
Nebraska(4/23/2024)
RR
New York(3/24/2003)
RR
North Carolina(5/8/2019)
RR
Ohio(11/19/2024)
RR
Oklahoma(1/8/2024)
RR
South Carolina(9/23/2010)
RR
Tennessee(10/13/2021)
RR
Texas(1/8/1996)
IAR
Texas(1/21/2014)
RR
Utah(4/16/2020)
RR
Virginia(5/24/2016)
RR
Washington(8/23/2019)
RR
Wisconsin(6/12/2018)
RR
Wyoming(12/2/2024)
Exams
State Security Law Exam
General Industry/Product 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.
