MU
Michael S. Urso
CETERA INVESTMENT ADVISERS LLC
ROCKY HILL, CT 06067
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CRD#: 3176697
MU
Professional summary
Michael S Urso, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rocky Hill, Connecticut and CETERA WEALTH SERVICES, LLC located in Rocky Hill, Connecticut.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 6 firms and has passed the Series 66, 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) NO BOUNDARIES ACQUISITIONS, LLC POSITION: MEMBER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/25/2007 ADDRESS: Rocky Hill CT, United States DESCRIPTION: Real estate rental 2) SOUTHWAY CONDO ASSOC, INC POSITION: TREASURER NATURE: CONDOMINIUM ASSOCIATION INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/07/2016 ADDRESS: Rocky Hill CT, United States DESCRIPTION: REVIEW BILLS, PAY BILLS, ATTEND BOARD MEETINGS AND SIGN TAX RETURNS. 3) URSO & RAHMEIER; POSITION: PARTNER NATURE: This entity is used to market this business. My duties include financial planning and investing for clients. INVESTMENT RELATED: No NUMBER OF HOURS: 126 SECURITIES TRADING HOURS: 126 START DATE: 04/16/2021 ADDRESS: 35 Cold Spring Rd, Suite 312, Rocky Hill CT 06067, United States DESCRIPTION: Investing for retirement, education, estate planning, and general financial interest. 4) MICHAEL URSO, CPA, INC. POSITION: CPA, OWNER NATURE: CPA FIRM INVESTMENT RELATED: No NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 40 START DATE: 12/01/2005 ADDRESS: 35 COLD SPRING ROAD, STE 312, ROCKY HILL CT 06037, United States DESCRIPTION: ACCOUNTING & TAX 5) MICHAEL S. URSO; FINANCIAL ADVISOR; FINANCIAL SERVICES; IR; 4; 01/01/2006; Rocky Hill CT ;
CRS (Client Relationship Summary) - RIA
Click below to view Michael S Urso'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: 1989
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 35 Cold Spring Rd Suite 225, Rocky Hill, CT 06067RIA
CRD#: 105644
ROCKY HILL, CT
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 35 Cold Spring Rd Suite 312, Rocky Hill, CT 06067BD
CRD#: 13572
ROCKY HILL, CT
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
ROCKY HILL, CT
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ROCKY HILL, CT
Past
September 12, 2000 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
ROCKY HILL, CT
Past
September 13, 1999 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ROCKY HILL, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Alaska(9/5/2025)
RR
California(9/5/2025)
RR
Connecticut(9/5/2025)
IAR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/18/2025)
RR
North Carolina(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
