Richard H. Sloggett
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 Henry Sloggett III, who also goes by Richard Henry Sloggett, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2020 - December 31, 2020
CETERA INVESTMENT ADVISERS LLC
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
November 26, 1997 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
December 15, 1994 - December 31, 2020
FIRST ALLIED SECURITIES, INC.
May 17, 1993 - December 23, 1994
FIRST AFFILIATED SECURITIES
July 29, 1987 - June 3, 1993
NEW ENGLAND SECURITIES
August 14, 1986 - June 12, 1987
CETERA WEALTH SERVICES, LLC
December 6, 1984 - August 19, 1986
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.
