John F. Straub

VICUS CAPITAL

State College, PA 16801

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CRD#: 3155328

Professional summary

John Frederick Straub 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.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 5 firms and has passed the Series 63, Series 65, SIE 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.

1. CLIENT ACCOUNT ANALYST /INVESTMENT ADVISOR, VICUS CAPITAL INC, 40 SECURITIES TRADING HOURS, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 01/2018; 2. NAME OF OTHER BUSINESS: PFG WEALTH PLANNING, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 07/2008, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Frederick Straub'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

January 4, 2018 - Present

VICUS CAPITAL, INC.

Office #1: 476 Rolling Ridge Drive, Suite 333, State College, PA 16801

RIA

CRD#: 116021

State College, PA

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 476 Rolling Ridge Dr Ste 333, State College, PA 16801

CRD#: 13572

State College, PA

Past

June 25, 2008 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

STATE COLLEGE, PA

Past

March 2, 2007 - July 17, 2008

ARIS WEALTH SERVICES INC

RIA

CRD#: 104577

STATE COLLEGE, PA

Past

April 21, 1999 - November 16, 2004

SAFEGUARD SECURITIES, INC.

CRD#: 31256

MAYFIELD HEIGHTS, OH

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".

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.

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

Pennsylvania
(2/2/2015)

IAR

Pennsylvania
(1/4/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/27/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/1/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VICUS CAPITAL ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	9,058
AUM (Assets Under Management)	$ 2,574,468,218

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

John F. Straub

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Frederick Straub's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

ARIS WEALTH SERVICES INC

SAFEGUARD SECURITIES, INC.

Primary Firm SEC Registration

VICUS CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2015

Series 65

Date: 3/1/2007

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1998

FINRA

Current Firm

VICUS CAPITAL, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VICUS CAPITAL, INC.

TRUST BUT VERIFY

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