Richard P. Kundracik

CETERA INVESTMENT ADVISERS LLC

FARMINGTON HLS, MI 48331

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CRD#: 1212638

Professional summary

Richard Paul Kundracik, who also goes by Richard P Kundracik, Rick Kundracik, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Farmington Hls, Michigan and CETERA INVESTMENT SERVICES LLC located in Farmington Hls, Michigan.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 22 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 22, Series 24 and Series 51 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard P Kundracik | Rick Kundracik

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) MR. KUNDRACIK IS A REGISTERED REPRESENTATIVE OF MILLINGTON SECURITIES*, A DUALLY REGISTERED BROKER DEALER/RIA. (2) MR. KUNDRACIK IS AN INVESTMENT ADVISER REPRESENTATIVE OF HARTSHORNE GROUP, INC*, AN RIA. (3) MR. KUNDRACIK IS AN INVESTMENT ADVISER REPRESENTATIVE OF WBI INVESTMENTS*, AN RIA. *WBI, MILLINGTON, AND HARTSHORNE ARE AFFILIATED ENTITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Paul Kundracik'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

March 14, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 33533 W Twelve Mile Rd Suite 310, Farmington Hls, MI 48331

RIA

CRD#: 105644

FARMINGTON HLS, MI

Current

March 12, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 33533 W Twelve Mile Rd Suite 310, Farmington Hls, MI 48331

CRD#: 15340

Farmington Hls, MI

Past

October 7, 2020 - March 20, 2024

HARTSHORNE GROUP, LLC

RIA

CRD#: 150897

PARKER, CO

Past

January 6, 2020 - December 31, 2021

MILLINGTON SECURITIES, INC.

CRD#: 147298

RED BANK, NJ

Past

January 3, 2017 - December 31, 2019

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

May 17, 2016 - March 20, 2024

WBI INVESTMENTS, LLC

RIA

CRD#: 106336

RED BANK, NJ

Past

May 16, 2016 - December 31, 2016

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

November 1, 2010 - April 27, 2016

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

ATLANTA, GA

Past

October 19, 2010 - April 27, 2016

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

August 4, 2009 - October 7, 2010

WBI INVESTMENTS, LLC

RIA

CRD#: 106336

PARKER, CO

Past

September 7, 2006 - May 21, 2009

CETERA ADVISORS LLC

RIA

CRD#: 10299

DENVER, CO

Past

August 29, 2002 - May 21, 2009

CETERA ADVISORS LLC

CRD#: 10299

DENVER, CO

Past

June 2, 2001 - July 22, 2002

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

April 12, 1999 - December 4, 2000

ING FUNDS DISTRIBUTOR, INC.

CRD#: 36461

WILMINGTON, DE

Past

August 12, 1998 - October 26, 1998

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

November 4, 1997 - June 4, 1998

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

June 20, 1996 - October 9, 1997

ICON DISTRIBUTORS, INC.

CRD#: 28568

GREENWOOD VILLAGE, CO

Past

January 25, 1994 - June 14, 1996

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

August 26, 1993 - January 14, 1994

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 19, 1992 - June 25, 1992

AMERICAN FINANCE GROUP SECURITIES CORP.

CRD#: 16233

BOSTON, MA

Past

June 26, 1991 - December 16, 1991

NORTH AMERICAN FINANCIAL GROUP, INC.

CRD#: 22273

WARREN, MI

Past

October 19, 1990 - July 12, 1991

CAPITAL CONCEPTS INVESTMENT CORP.

CRD#: 7115

SAN FRANCISCO, CA

Past

October 18, 1990 - July 24, 1991

ALERT EQUITY CORPORATION

CRD#: 22472

Past

July 25, 1986 - October 10, 1990

LEPERCQ EQUITY CORP.

CRD#: 15589

Past

May 1, 1985 - July 18, 1989

BRAUVIN SECURITIES, INC.

CRD#: 14703

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(7/17/2024)

Alaska
(7/19/2024)

Arizona
(7/26/2024)

Arkansas
(7/19/2024)

California
(7/17/2024)

Colorado
(7/17/2024)

Connecticut
(7/17/2024)

Delaware
(7/18/2024)

District of Columbia
(7/25/2024)

Florida
(7/17/2024)

Georgia
(7/18/2024)

Hawaii
(7/18/2024)

Idaho
(7/17/2024)

Illinois
(8/8/2024)

Indiana
(7/18/2024)

Iowa
(7/24/2024)

Kansas
(7/18/2024)

Kentucky
(7/29/2024)

Maine
(7/17/2024)

Maryland
(7/22/2024)

Massachusetts
(7/16/2024)

IAR

Michigan
(3/14/2024)

Michigan
(7/12/2024)

Minnesota
(7/17/2024)

Mississippi
(7/18/2024)

Missouri
(7/29/2024)

Montana
(7/23/2024)

Nebraska
(7/17/2024)

Nevada
(7/17/2024)

New Hampshire
(7/18/2024)

New Jersey
(7/17/2024)

New Mexico
(7/18/2024)

New York
(7/21/2024)

Ohio
(7/17/2024)

Oklahoma
(7/18/2024)

Oregon
(7/20/2024)

Pennsylvania
(7/17/2024)

Rhode Island
(7/18/2024)

South Carolina
(7/19/2024)

South Dakota
(7/19/2024)

Tennessee
(7/17/2024)

Texas
(7/16/2024)

IAR

Texas
(7/16/2024)

Utah
(7/17/2024)

Vermont
(7/19/2024)

Virginia
(7/17/2024)

Washington
(7/18/2024)

West Virginia
(7/17/2024)

Wisconsin
(7/17/2024)

Wyoming
(7/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/8/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/12/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/12/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/29/1985

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/12/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 12/10/2004

Municipal Fund Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Firm Stability Insights

Richard P. Kundracik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Paul Kundracik's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

HARTSHORNE GROUP, LLC

MILLINGTON SECURITIES, INC.

FORESIDE FUND SERVICES, LLC

WBI INVESTMENTS, LLC

QUASAR DISTRIBUTORS, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

WBI INVESTMENTS, LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

NYLIFE DISTRIBUTORS LLC

ING FUNDS DISTRIBUTOR, INC.

MML DISTRIBUTORS, LLC

EQUITABLE DISTRIBUTORS, LLC

ICON DISTRIBUTORS, INC.

BNY MELLON SECURITIES CORPORATION

MORGAN STANLEY DW INC.

AMERICAN FINANCE GROUP SECURITIES CORP.

NORTH AMERICAN FINANCIAL GROUP, INC.

CAPITAL CONCEPTS INVESTMENT CORP.

ALERT EQUITY CORPORATION

LEPERCQ EQUITY CORP.

BRAUVIN SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/2024

Series 66

Date: 10/12/2004

Series 7TO

Date: 2/12/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

Series 22

Date: 4/29/1985

Series 24

Date: 2/12/2024

Series 51

Date: 12/10/2004

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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