Kenneth Allan Ulrich

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2009 → 12/2017
  Sii Investments, Inc.
  Williamsville, NY
• 12/2017 → 05/2024
  Lincoln Financial Advisors Corporation
  Amherst, NY
• 12/1986 → Present
  Progressive Planning Services, Inc.
  East Amherst, NY
• 06/2005 → Present
  1031 Retirement Solutions, Llc
  Clarence Center, NY
• 09/2005 → Present
  Pinnacle Funding, Llc
  Cheyenne, WY
• 05/2021 → 01/2024
  22 Miller Place, Llc
  Clarence Center, NY
• 05/2024 → 09/2025
  Avantax Investment Services Inc.
  East Amherst, NY
• 05/2024 → 09/2025
  Avantax Insurance Agency, Llc
  East Amherst, NY
• 05/2024 → 09/2025
  Avantax Advisory Services
  East Amherst, NY
• 01/2014 → Present
  Pub Properties, Inc
  Okeechobee, FL
• 12/2024 → Present
  Bearingstone Wealth, Inc.
  Williamsville, NY
• 06/2025 → Present
  Fixed Index Annuities
  Williamsville, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Williamsville, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2024-05-03 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  East Amherst, NY
  Williamsville, NY
• 2018-01-09 → 2024-05-06
  Osaic Fa, Inc.
  Williamsville, NY
  Williamsville, NY
  Williamsville, NY
  Williamsville, NY
  East Amherst, NY
• 2009-03-30 → 2017-12-08
  Sii Investments, Inc.
  Williamsville, NY
  Appleton, WI
  Williamsville, NY
• 2003-01-17 → 2009-04-02
  Fsc Securities Corporation
  Williamsville, NY

Other Businesses

1) 1031 RETIREMENT SOLUTIONS, LLC POS: Member NATURE: Entity designed to hold NYS Real Estate Broker License NIR; HRS: 1; HRS: 1; 06/30/2005; 8610 Transit Road, #200, East Amherst NY 14051; Referring potential clients to other Real Estate Brokers. Receive referral commisssions if other Brokers are successful in generating revenue for those clients real estate sales ofr purchases. 2) 22 MILLER PLACE, LLC POS: Member NATURE: Previously held rental cottage-no activity now; NIR; HRS: 0; HRS: 0; 05/21/2021; 9650 Lapp Road, Clarence Center, Clarence Center NY 14032 DESC: No activities as this entity is currently inactive 3) PROGRESSIVE PLANNING SERVICES, INC. POS: Chief Executive Officer NATURE: Entity DBA for conducting financial advice, retirement planning, financial planning, including insurance and securities business with clients. IR; HRS: 160; HRS: 100 START DATE: 12/10/1986 ADDR: 8610 Transit Rd, Suite 200, East Amherst NY 14051 DESC: President- handling all administration of financial planning practice, working with clients on financial planning advice involving insurance, securities and investment advisory services. Supervising staff who assists me in the aforementioned. 4) PINNACLE FUNDING, LLC POS: Member NATURE: Ownership and rental of business equipment, furniture and computers. NIR; HRS: 1; HRS: 0 START DATE: 09/12/2005 ADDR: 109 East 17th Street, Suite 63, Cheyenne WY 82001 DESC: Managing and record keeping for rental equipment, expense payments, banking and reporting. This is the extent of my duties. 5) PUB PROPERTIES, INC POS: President NATURE: President of a corporation that is a real estate holding company for a family ranch. IR; HRS: 5; HRS: 1 START DATE: 01/06/2014 ADDR: 113 Northwest 11th Avenue, Okeechobee FL 33935 DESC: Executive officer responsible for executing documents, making financial decisions and business planning for the ranch 6) POA FOR FAMILY MEMBER POS: Power of Attorney NATURE: Becoming Power of Attorney on my Father's SEI Account and NFS Brokerage and Advisory Account; NIR; HRS: 1; HRS: 0 START DATE: 11/15/2024 ADDR: 5920 Main Street, Suite 200, Williamsville NY 14221 DESC: Receive mail, handling maintenance of account in POA capacity 7) BEARINGSTONE WEALTH, INC. POS: Founding Partner-Finacial Advisor NATURE: Used for a DBA for marketing financial services, including insurance, financial planning, fee based asset management and Broker Dealer product sales. NIR; HRS: 100; HRS: 100 START DATE: 12/31/2024 ADDR: 5920 Main Street, Suite 200, Williamsville NY 14221 DESC: Manage website, marketing material, advertising, review investment performance with clients, meet with clients. 8) FIXED INDEX ANNUITIES POS: Agent NATURE: Sale of Fixed Indexed Annuities through Avantax IR; HRS: 2; HRS: 2 START DATE: 05/27/2025 ADDR: 5920 Main Street, Williamsville NY 14221, United StatesDESC: Meet with clients and select appropriate annuity products 9) ESTATE OF TIMOTHY S. BOBERG POS: Co-Executor NATURE: Serving as Co-Executor together with my Sister for my deceased Brother-In-Law's Estate. Arranging for valuation/appraisal of assets, working with and at the instruction of attorneys for the business of the estate. NIR; HRS: 4; HRS: 3 START DATE: 03/18/2025 ADDR: 5920 Main Street, Williamsville NY 14221, United States DESC: Working with attorneys for estate plan. Obtaining valuations of assets. Signing documents by attorneys Arranging for retitling of assets 10) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/2025 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED ANNUITIES

Exams

• S63 Uniform Securities Agent State Law Examination
  1990-04-03

Designations

• Certified Financial Planner

Other Names

• Kenneth A Ulrich
• Kenneth Ulrich
• Ken Ulrich