Robert H. Pfahl
VICUS CAPITAL
State College, PA 16801
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CRD#: 2668961
Professional summary
Robert Henry Pfahl, CFP® is a registered financial advisor currently at VICUS CAPITAL, INC. located in State College, Pennsylvania and CETERA WEALTH SERVICES, LLC located in State College, Pennsylvania.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Robert has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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.
(1) NAME OF OTHER BUSINESS: VICUS CAPITAL INC- CRD#116021 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE / OSJ MANAGER START DATE: 05 / 2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT, 3RD PARTY MONEY MANAGER (2) NAME OF OTHER BUSINESS: PARTNERS FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROVIDE COMPLIANCE SUPPORT TO CHIEF COMPLIANCE OFFICER POSITION/TITLE/RELATIONSHIP: COMPLIANCE ASSOCIATE START DATE: 8/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: COMPLIANCE ASSOCIATE (3) NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: ESTATE UPON DEATH, POSITION/TITLE/RELATIONSHIP: EXECUTOR START DATE: 7/19 APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR A WEEK APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 HOUR A WEEK BRIEF DESCRIPTION OF DUTIES: EXECUTOR FOR MOTHER IN-LAW; (4) NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: ESTATE UPON DEATH, POSITION/TITLE/RELATIONSHIP: EXECUTOR START DATE: 7/19 APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR A WEEK APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 HOUR A WEEK BRIEF DESCRIPTION OF DUTIES: EXECUTOR OF SISTER IN-LAW'S ESTATE; (5) NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: CO-TRUSTEE, POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE START DATE: 7/19 APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR A WEEK APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 HOUR A WEEK BRIEF DESCRIPTION OF DUTIES: CO-TRUSTEE OF MOTHER IN-LAW'S SPECIAL NEEDS TRUST; (6) NAME OF OTHER BUSINESS: ACORN RETIREMENT ADVISORS, LLC ; INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 04/2024 ; POSITION/TITLE/RELATIONSHIP: OWNER/FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 3 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (7) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 1/2022; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, AND FIXED ANNUITIES; 8) NAME OF OTHER BUSINESS: CENTRE REGION ESTATE PLANNING COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 210 W HAMILTON AVE, STE 314, STATE COLLEGE, PA 16801; NATURE OF BUSINESS: BOARD; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER - NETWORKING AND EDUCATION ORGANIZATION FOR ESTATE PLANNING PROFESSIONALS;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Henry Pfahl'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®
CFP®
Start date: 2015
Experience
Current
August 30, 2019 - Present
VICUS CAPITAL, INC.
Office #1: 476 Rolling Ridge Drive Suite 333, State College, PA 16801RIA
CRD#: 116021
State College, PA
Current
August 12, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 476 Rolling Ridge Dr Ste 333, State College, PA 16801BD
CRD#: 13572
State College, PA
Past
May 19, 2017 - June 28, 2019
USI ADVISORS
RIA
CRD#: 108113
State College, PA
Past
May 19, 2017 - June 28, 2019
USI SECURITIES, INC.
BD
CRD#: 43793
GLASTONBURY, CT
Past
September 3, 2013 - May 23, 2017
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
STATE COLLEGE, PA
Past
March 23, 2012 - May 19, 2017
VICUS CAPITAL, INC.
RIA
CRD#: 116021
STATE COLLEGE, PA
Past
February 14, 2012 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
STATE COLLEGE, PA
Past
September 11, 2002 - November 26, 2007
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
BOSTON, MA
Past
September 22, 2000 - August 26, 2002
SAFEGUARD SECURITIES, INC.
BD
CRD#: 31256
MAYFIELD HEIGHTS, OH
Past
November 7, 1995 - February 26, 1999
KEYSTONE BROKERAGE, LLC
BD
CRD#: 17445
WILLIAMSPORT, PA
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".
VC
VICUS CAPITAL, INC.
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
CRD#: 116021 / SEC#: 801-60628
RIA
Registered Investment Advisory firm - (10/5/2001 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
Pennsylvania(8/12/2019)
IAR
Pennsylvania(8/30/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VICUS CAPITAL, INC.
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
CRD#: 116021 / SEC#: 801-60628
RIA
Registered Investment Advisory firm - (10/5/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
476 Rolling Ridge Drive Suite 315, State College, PA 16801
Mailing Address
Phone number
(855) 558-4287
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,058 |
| AUM (Assets Under Management) | $ 2,574,468,218 |
Red Flags
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