Richard P. Anderson

CETERA INVESTMENT MANAGEMENT LLC

ST CLOUD, MN 56301

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CRD#: 1280599

Professional summary

Richard Paul Anderson is a registered financial advisor currently at CETERA INVESTMENT MANAGEMENT LLC located in St Cloud, Minnesota and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Paul Anderson'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®

None

Experience

Current

July 13, 2017 - Present

CETERA INVESTMENT MANAGEMENT LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

RIA

CRD#: 165436

ST CLOUD, MN

Current

November 15, 1984 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 15340

St Cloud, MN

Current

April 11, 2011 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 13572

St Cloud, MN

Current

April 11, 2011 - Present

CETERA ADVISORS LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 10299

St Cloud, MN

Past

July 13, 2017 - September 28, 2017

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

November 8, 2001 - November 14, 2003

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OMAHA, NE

Past

August 1, 2001 - October 30, 2001

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

April 20, 2000 - November 8, 2001

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OMAHA, NE

Past

January 18, 1994 - November 17, 2009

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

ST. CLOUD, MN

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 MANAGEMENT LLC

CETERA INVESTMENT MANAGEMENT LLC | TOWER SQUARE INVESTMENT MANAGEMENT LLC

CRD#: 165436 / SEC#: 801-77403

RIA

Registered Investment Advisory firm - (1/3/2013 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

Indiana
(4/3/1985)

Minnesota
(11/15/1984)

IAR

Minnesota
(7/13/2017)

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: 6/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/30/1990

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/22/1986

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/25/1986

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT MANAGEMENT LLC

CETERA INVESTMENT MANAGEMENT LLC | TOWER SQUARE INVESTMENT MANAGEMENT LLC

CRD#: 165436 / SEC#: 801-77403

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

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Contact information

Main Address

1450 American Lane Suite 650, Schamburg, IL 60173

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CETERA INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (3/28/2025)

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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Richard P. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

BANCWEST INVESTMENT SERVICES, INC.

GUARANTY BROKERAGE SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCNORTH INVESTMENT GROUP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/1984

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 53

Date: 10/30/1990

Series 4

Date: 10/22/1986

Series 24

Date: 6/25/1986

FINRA

Current Firm

CETERA INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

CETERA INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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