RD
Richard E. Dwinell
CETERA INVESTMENT ADVISERS LLC
HARKER HEIGHTS, TX
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CRD#: 1262813
RD
Professional summary
Richard Eugene Dwinell, who also goes by Dick Dwinell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Harker Heights, Texas and CETERA ADVISORS LLC located in Harker Heights, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dick Dwinell
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) INNOVEST FINANCIAL PLANNING INC, SAME AS OFFICE ADDRESS, FINANCIAL PLANNING, SECURITIES BUSINESS AND FIXED INSURANCE, START 10/18/93, COMMISSION AND FEES, 100% OWNER, 40+HR/WK. (2) NAME OF OTHER BUSINESS: CITY OF HARKER HEIGHTS PUBLIC SAFETY COMMISSION ; INVESTMENT RELATED: NO ; ADDRESS: 305 MILLERS CROSSING, HARKER HEIGHTS, TX 76548 ; NATURE OF BUSINESS: CITY GOVERNMENT START DATE: 01/2023 ; POSITION/TITLE/RELATIONSHIP: PUBLIC SAFETY COMMISSION CHAIRMAN; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: MEET QUARTERLY WITH CHIEFS ABOUT THEIR DEPARTMENTS AND ADVISE AS NEEDED ; (3) NAME OF OTHER BUSINESS: HARKER HEIGHTS POLICE DEPARTMENT TRAINING ADVISORY BOARD; INVESTMENT RELATED: NO; ADDRESS: 401 INDIAN TRAIL DRIVE HARKER HEIGHTS, TX 76548; NATURE OF BUSINESS: POLICE TRAINING BOARD; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: ADVISORY BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ADVISORY BOARD FOR TRAINING OF POLICE OFFICERS;
CRS (Client Relationship Summary) - RIA
Click below to view Richard Eugene Dwinell'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HARKER HEIGHTS, TX
Current
July 23, 1992 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Harker Heights, TX
Past
July 23, 1992 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
January 3, 1989 - July 27, 1992
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
May 3, 1984 - January 5, 1989
PW SECURITIES, INC.
BD
CRD#: 6775
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
Alabama(7/15/2005)
RR
Arizona(1/2/2024)
RR
Colorado(7/21/2016)
RR
District of Columbia(1/3/2023)
RR
Florida(1/8/2001)
RR
Georgia(1/6/2012)
RR
Indiana(9/1/2004)
RR
Kentucky(1/3/2007)
RR
Louisiana(9/11/2023)
RR
Maryland(8/27/1997)
RR
Minnesota(1/3/2011)
RR
Mississippi(1/3/2017)
RR
Nevada(1/3/2020)
RR
New York(1/6/2015)
RR
Texas(7/23/1992)
IAR
Texas(3/21/2024)
RR
Virginia(8/21/1996)
RR
Wisconsin(1/4/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
