RC
Richard L. Capullo
CETERA INVESTMENT ADVISERS LLC
LOUDONVILLE, NY 12211
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CRD#: 1023179
RC
Professional summary
Richard Louis Capullo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Loudonville, New York and CETERA WEALTH SERVICES, LLC located in Loudonville, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, SIE, Series 7 and Series 2 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. FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
FIXED INSURANCE,
START 02/1972,
11HR/WK (TRADING HOURS),
INSURANCE AGENT - SELLS LIFE, ACCIDENT, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE;
2. BENEFIT PLANNING SERVICES INC.,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
DBA NAME FOR FIXED INSURANCE,
START 02/1972,
1HR/WK (TRADING HOURS),
INSURANCE AGENT;
3. BPS FINANCIAL SERVICES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
DBA NAME FOR FIXED INSURANCE & SECURITIES BUSINESS,
START 01/01/2015,
40HRS/WK (32.5 TRADING HOURS),
INSURANCE AGENT, REGISTERED REPRESENTATIVE;
4. NAME OF OTHER BUSINESS: POA FOR BROTHER IN LAW;
INVESTMENT RELATED: NO;
ADDRESS: 59 TAMARACK HILL DR, POUGHKEEPSIE, NY;
NATURE OF BUSINESS: POA;
START DATE: 03/2017;
POSITION/TITLE/RELATIONSHIP: POA;
APX NUMBER OF HOURS PER WEEK: LESS THAN 1;
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1;
BRIEF DESCRIPTION OF DUTIES: POA FOR BROTHER IN LAW;
CRS (Client Relationship Summary) - RIA
Click below to view Richard Louis Capullo'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 20 Corporate Woods Blvd 2nd Fl, Loudonville, NY 12211RIA
CRD#: 105644
LOUDONVILLE, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 20 Corporate Woods Blvd 2nd Fl, Loudonville, NY 12211BD
CRD#: 13572
Loudonville, NY
Past
December 21, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
LOUDONVILLE, NY
Past
September 23, 1997 - January 27, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
ALBANY, NY
Past
October 15, 1993 - January 5, 2006
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
January 12, 1982 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
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
California(6/25/2024)
RR
Florida(9/3/2013)
RR
Louisiana(3/19/2025)
RR
Maine(9/3/2013)
RR
Massachusetts(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
Rhode Island(9/3/2013)
RR
South Carolina(3/14/2019)
RR
Texas(12/21/2017)
IAR
Texas(6/29/2023)
RR
Vermont(1/2/2025)
RR
Virginia(8/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 2/25/1975
Non-Member General Securities ExaminationSRO 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.
