Todd E. Richardson
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.
Todd Edwin Richardson, who also goes by Todd Richardson, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1984. Todd had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - December 6, 2024
CETERA INVESTMENT ADVISERS LLC
April 22, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
April 17, 2013 - December 6, 2024
CETERA INVESTMENT SERVICES LLC
February 18, 2011 - March 1, 2013
FIFTH THIRD SECURITIES, INC.
February 18, 2011 - March 1, 2013
FIFTH THIRD SECURITIES, INC.
May 14, 2007 - February 22, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
May 14, 2007 - February 22, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
February 10, 2006 - October 31, 2006
KEY INVESTMENT SERVICES LLC
February 10, 2006 - October 31, 2006
KEY INVESTMENT SERVICES LLC
October 12, 2004 - February 9, 2006
MORGAN KEEGAN & COMPANY, LLC
October 12, 2004 - February 9, 2006
MORGAN KEEGAN & COMPANY, LLC
November 15, 2000 - October 13, 2004
RAYMOND JAMES & ASSOCIATES, INC.
September 1, 2000 - October 13, 2004
RAYMOND JAMES & ASSOCIATES, INC.
May 14, 1999 - September 7, 2000
KEYBANC CAPITAL MARKETS INC.
August 7, 1995 - May 14, 1999
KEY INVESTMENTS INC.
July 31, 1993 - August 18, 1995
CITIGROUP GLOBAL MARKETS INC.
July 9, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
March 7, 1988 - June 22, 1989
BANC ONE SECURITIES, INC.
May 18, 1987 - July 1, 1987
K. J. BROWN & CO., INC.
June 4, 1984 - May 8, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
