RU
Russel Urffer
CETERA INVESTMENT ADVISERS LLC
ETTERS, PA
Some features on this profile are disabled
CRD#: 451878
RU
Professional summary
Russel Urffer Jr, who also goes by Russ Urffer, Rusty Urffer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Etters, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Etters, Pennsylvania.
Russel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Russel has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Russ Urffer | Rusty Urffer
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.
(dba) MIDATLANTIC INSURANCE CONSULTANTS LTD (MAICLTD); Investment Related; Residence, Etters, PA; President; Start Date 08/1992; 110 hours per month; Marketing, administration recruiting and sales and service of fixed life and fixed annuity products. MidAtlantic Insurance Consultants, Ltd, is a wholesale distributor of life, disability, annuity and long-term care insurance to independent financial services professionals. >> HARRISBURG FOREST #43 TALL CEDARS OF LEBANON INTERNATIONAL; Non-Investment Related; 8143 Jonestown Road, Harrisburg, PA 17112; Board Member; Treasurer; Start Date 01/2021; 6 hours per month with no hours per month occurring during trading hours; As treasurer of this Masonic auxiliary, my duties are to remit payment for all invoices as approved by the senior presiding officer. I do not handle funds for deposit and all checks require two signatures. >> POA; Non-Investment Related; Etters, PA; Other; Power of Attorney (POA); Start Date 09/2024; No hours per month; Power of attorney for my son.
CRS (Client Relationship Summary) - RIA
Click below to view Russel Urffer Jr'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®
NoneExperience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ETTERS, PA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Etters, PA
Past
March 25, 2008 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Etters, PA
Past
January 26, 2007 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Etters, PA
Past
August 3, 2004 - December 31, 2006
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
NEW BRIGHTON, PA
Past
December 21, 1999 - August 3, 2004
HACKETT ASSOCIATES, INC.
BD
CRD#: 2106
WYOMISSING, PA
Past
January 5, 1996 - July 31, 1999
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
March 15, 1993 - June 14, 1996
T.H.E. FINANCIAL GROUP, LTD
BD
CRD#: 14720
MECHANICSBURG, PA
Past
May 9, 1991 - October 29, 1992
HACKETT ASSOCIATES, INC.
BD
CRD#: 2106
WYOMISSING, PA
Past
August 25, 1987 - July 21, 1992
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
February 4, 1974 - July 21, 1987
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
Past
February 4, 1974 - August 10, 1987
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
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
Arizona(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Connecticut(2/20/2025)
RR
Delaware(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
RR
Maine(2/20/2025)
RR
Maryland(2/20/2025)
RR
Mississippi(2/20/2025)
RR
Missouri(2/20/2025)
RR
Montana(2/20/2025)
RR
Nevada(2/20/2025)
RR
New Jersey(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(2/20/2025)
RR
Pennsylvania(2/20/2025)
IAR
Pennsylvania(2/20/2025)
RR
South Carolina(6/23/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Virginia(2/20/2025)
RR
West Virginia(2/20/2025)
RR
Wyoming(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/28/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory 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.
