Sergio A. Urrutia

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Port St Lucie, FL 34952

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CRD#: 2254948

Professional summary

Sergio Alfredo Urrutia is a registered financial advisor currently at KNIGHTS OF COLUMBUS ASSET ADVISORS LLC located in Port St Lucie, Florida.

Sergio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Sergio has worked at 9 firms and has passed the Series 65, Series 63 and Series 7 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.

Knights of Columbus Insurance General Agent Non-Investment Related. General Agent - Selling Life Insurance & Annuities, Long Term Care Insurance, and Disability Insurance. Started 09/2003 80 hours monthly. New Haven, CT My wife and I jointly own SAU Luxury Transport, LLC - I am a Managing Member of this LLC My wife and I jointly own SAU Luxury Transport, LLC - 50/50 ownership interest SAU Luxury Transportation DBA Eagle Luxury Transportation is a Black Car Service Company. It provides passenger transportation to airports and private affairs. www.eltlimo.com My wife runs the day to day business operations. My responsibilities are strictly processing chauffeur and office staff payroll every other week. I derive no compensation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sergio Alfredo Urrutia'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

May 6, 2021 - Present

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Office #1: 8444 S Federal Hwy, Port St Lucie, FL 34952

RIA

CRD#: 174129

Port St Lucie, FL

Past

September 6, 2001 - October 2, 2003

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

April 11, 1999 - July 8, 1999

WHARTON CAPITAL MARKETS LLC

CRD#: 44632

NORTH HILLS, NY

Past

June 10, 1998 - October 27, 1998

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

November 2, 1995 - May 24, 1996

INSTITUTIONAL EQUITY CORPORATION

CRD#: 19628

DALLAS, TX

Past

January 19, 1995 - October 9, 1995

SEABOARD SECURITIES, INC.

CRD#: 755

FLORHAM PARK, NJ

Past

July 8, 1993 - January 24, 1995

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

January 11, 1993 - July 19, 1993

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

October 19, 1992 - February 16, 1993

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, 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".

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

BOSTON ADVISORS | KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

CRD#: 174129 / SEC#: 801-80844

RIA

Registered Investment Advisory firm - (1/23/2015 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/12/2021)

IAR

Delaware
(5/13/2021)

IAR

District of Columbia
(5/20/2021)

IAR

Florida
(5/12/2021)

IAR

Georgia
(7/8/2021)

IAR

Kentucky
(11/4/2025)

IAR

Maine
(6/15/2021)

IAR

Maryland
(5/6/2021)

IAR

Massachusetts
(5/25/2021)

IAR

New Hampshire
(5/7/2021)

IAR

New Jersey
(5/26/2021)

IAR

New York
(5/16/2021)

IAR

North Carolina
(5/13/2021)

IAR

Oklahoma
(11/4/2025)

IAR

Pennsylvania
(5/13/2021)

IAR

Puerto Rico
(5/13/2021)

IAR

Rhode Island
(5/24/2021)

IAR

South Carolina
(5/20/2021)

IAR

Texas
(11/4/2025)

IAR

Vermont
(5/6/2021)

IAR

Virginia
(5/13/2021)

IAR

West Virginia
(5/17/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/17/1992

General Securities Representative Examination

Current Firm

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

BOSTON ADVISORS | KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

CRD#: 174129 / SEC#: 801-80844

RIA

Registered Investment Advisory firm - (1/23/2015 Approved)

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Contact information

Main Address

One Columbus Plaza, New Haven, CT 06510

Mailing Address

Phone number

(203) 752-4502

Established

Firm type

Fiscal year end

# of Employees

226

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC ADV PART 2A BROCHURE 6.4.2025 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	5,592
AUM (Assets Under Management)	$ 28,035,873,347

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

Sergio A. Urrutia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sergio Alfredo Urrutia's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUNNALLEN FINANCIAL, INC

WHARTON CAPITAL MARKETS LLC

WINDSOR STREET CAPITAL, LP

INSTITUTIONAL EQUITY CORPORATION

SEABOARD SECURITIES, INC.

FIRST ASSET MANAGEMENT, INC.

COMMONWEALTH ASSOCIATES

ROBERT TODD FINANCIAL CORP.

Primary Firm SEC Registration

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/2021

Series 63

Date: 10/30/1992

Series 7

Date: 10/17/1992

Current Firm

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

TRUST BUT VERIFY

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