Richard V. Marinaro
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Vincent Marinaro, CFP® was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2024 - September 30, 2025
CETERA INVESTMENT ADVISERS LLC
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
October 3, 2016 - September 30, 2025
CETERA ADVISORS LLC
June 16, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
August 6, 2002 - June 16, 2005
EASTERN POINT ADVISORS INC.
January 4, 2000 - October 3, 2016
INVESTORS CAPITAL CORP.
June 1, 1996 - July 18, 1996
WALNUT STREET SECURITIES, INC.
October 26, 1992 - December 31, 1999
COMMONWEALTH FINANCIAL NETWORK
March 4, 1992 - November 4, 1992
SUNPOINT SECURITIES, INC.
February 14, 1992 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
February 4, 1988 - February 3, 1992
MONARCH SECURITIES, INC.
June 18, 1987 - February 19, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 1986 - July 7, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 5, 1986 - July 23, 1987
EQUITABLE ADVISORS, LLC
December 16, 1985 - April 17, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
September 3, 1985 - November 21, 1985
SIGNATOR INVESTORS, INC.
December 12, 1983 - August 28, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
