John Frederick Straub
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
OPPENHEIMER & CO. INC.
THE SUM
THRIVENT INVESTMENT MANAGEMENT INC.
EDELMAN FINANCIAL ENGINES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OPPENHEIMER & CO. INC.
THE SUM
THRIVENT INVESTMENT MANAGEMENT INC.
EDELMAN FINANCIAL ENGINES
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OPPENHEIMER & CO. INC.
THE SUM
THRIVENT INVESTMENT MANAGEMENT INC.
EDELMAN FINANCIAL ENGINES
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OPPENHEIMER & CO. INC.
THE SUM
THRIVENT INVESTMENT MANAGEMENT INC.
EDELMAN FINANCIAL ENGINES
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
OPPENHEIMER & CO. INC.
THE SUM
THRIVENT INVESTMENT MANAGEMENT INC.
EDELMAN FINANCIAL ENGINES
Current Firm
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
Contact Information
Main Address
476 Rolling Ridge Drive Suite 315, State College, PA 16801Phone Number
(855) 558-4287# of Employees
84SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
9,938AUM (Assets Under Management)
$2,994,398,372Similar Advisors
OPPENHEIMER & CO. INC.
THE SUM
THRIVENT INVESTMENT MANAGEMENT INC.
EDELMAN FINANCIAL ENGINES
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OPPENHEIMER & CO. INC.
THE SUM
THRIVENT INVESTMENT MANAGEMENT INC.
EDELMAN FINANCIAL ENGINES
Primary Firm SEC Registration
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
State Registrations and Notice Filings
(2/2/2015)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
OPPENHEIMER & CO. INC.
THE SUM
THRIVENT INVESTMENT MANAGEMENT INC.
EDELMAN FINANCIAL ENGINES
CRS (Client Relationship Summary) - RIA
Click below to view John Frederick Straub's CRS (Customer Relationship Summary).
Similar Advisors
OPPENHEIMER & CO. INC.
THE SUM
THRIVENT INVESTMENT MANAGEMENT INC.
EDELMAN FINANCIAL ENGINES