Timothy P. Urness
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Paul Urness, who also goes by Tim Paul Urness, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - December 23, 2016
CETERA INVESTMENT ADVISERS LLC
January 4, 2016 - December 23, 2016
CETERA INVESTMENT SERVICES LLC
September 5, 2014 - September 8, 2015
FIXED INCOME CAPITAL PARTNERS, LLC
April 19, 2013 - September 4, 2014
EQUITABLE ADVISORS, LLC
October 11, 2012 - September 4, 2014
EQUITABLE ADVISORS, LLC
August 26, 1994 - May 9, 1995
BARRON CHASE SECURITIES, INC.
July 6, 1994 - September 14, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 1, 1994 - July 6, 1994
LAKESHORE FINANCIAL CORP.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
