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SW

Scott E. Wucherpfennig

CETERA INVESTMENT ADVISERS LLC
MARSHFIELD, WI 54449
Some features on this profile are disabled
CRD#: 4639084
SW

Professional summary

Scott Edward Wucherpfennig is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marshfield, Wisconsin and CETERA INVESTMENT SERVICES LLC located in Medford, Wisconsin.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 6 firms and has passed the Series 65, Series 63, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Edward Wucherpfennig'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 8, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1001 North Central Avenue, Marshfield, WI 54449
RIA
CRD#: 105644
MARSHFIELD, WI
Current

January 8, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 721 S 8th Street, Medford, WI 54451Office #2: 1001 North Central Avenue, Marshfield, WI 54449Office #3: 110 County Road F, Phillips, WI 54555Office #4: 219 S Washington St, Lake City, MN 55041Office #5: 1122 N Division St, Colby, WI 54421Office #6: 177 4th Ave S, Park Falls, WI 54552
BD
CRD#: 15340
MEDFORD, WI
Past

January 19, 2024 - January 12, 2026

OSAIC WEALTH, INC.

RIA
CRD#: 23131
MARSHFIELD, WI
Past

January 19, 2024 - January 12, 2026

OSAIC WEALTH, INC.

BD
CRD#: 23131
MARSHFIELD, WI
Past

December 10, 2021 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
MEDFORD, WI
Past

December 10, 2021 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
MEDFORD, WI
Past

January 21, 2014 - December 10, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
MARSHFIELD, WI
Past

July 31, 2006 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
MARSHFIELD, WI
Past

July 31, 2006 - December 10, 2021

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
MARSHFIELD, WI
Past

November 17, 2004 - July 26, 2006

M&I FINANCIAL ADVISORS, INC

BD
CRD#: 16517
MARSHFIELD, WI
Past

April 29, 2003 - June 17, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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
Wisconsin
(1/8/2026)
IAR
Wisconsin
(1/8/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/13/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/28/2003
General Securities Representative Examination
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
Registered Investment Advisory firm - (1/13/1984 Approved)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Marshfield, WI 54449

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