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Richard Gerard Sylvester

Richard G. Sylvester

CETERA INVESTMENT ADVISERS
ROCHESTER, NY 14607
Some features on this profile are disabled
CRD#: 1451077
Richard Gerard Sylvester

Professional summary

Richard Gerard Sylvester, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rochester, New York and CETERA WEALTH SERVICES, LLC located in Rochester, New York.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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 Gerard Sylvester'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®
CFP®

Certified Financial Planner

Start date: 2005

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 930 East Avenue Suite 300, Rochester, NY 14607
RIA
CRD#: 105644
ROCHESTER, NY
Current

January 2, 2020 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 70 Linden Oaks 3rd Floor, Rochester, NY 14625
BD
CRD#: 13572
Rochester, NY
Past

May 4, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
BOCA RATON, FL
Past

January 3, 2020 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
ROCHESTER, NY
Past

November 30, 2010 - December 31, 2019

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
ROCHESTER, NY
Past

July 3, 2006 - November 30, 2010

M&T SECURITIES, INC.

BD
CRD#: 17358
ROCHESTER, NY
Past

December 3, 2004 - July 3, 2006

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
ROCHESTER, NY
Past

April 5, 2004 - July 3, 2006

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

October 31, 2000 - April 20, 2004

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

October 3, 1997 - November 10, 2000

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

August 31, 1995 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

August 31, 1995 - August 11, 1997

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

November 26, 1991 - July 31, 1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 26, 1991 - July 31, 1995

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

February 19, 1986 - March 29, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039

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
Arizona
(1/23/2020)
RR
Florida
(1/2/2020)
RR
Idaho
(8/5/2020)
RR
Indiana
(1/2/2020)
RR
Maryland
(8/18/2020)
RR
Massachusetts
(1/2/2020)
RR
New York
(1/2/2020)
IAR
New York
(6/29/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/6/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/29/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/2/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/25/1991
Investment Company Products/Variable Contracts Representative Examination
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Rochester, NY 14607

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