Jacob R. Price
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.
Jacob Richard Price, CFP®, who also goes by J Richard Price, Jacob R Price, Rick Price, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 1986. Jacob had worked at 14 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
Start date: 1991
Experience
May 23, 2018 - December 31, 2022
CETERA INVESTMENT ADVISERS LLC
May 23, 2018 - December 31, 2022
CETERA INVESTMENT SERVICES LLC
July 24, 2017 - March 9, 2018
OSAIC INSTITUTIONS, INC.
July 24, 2017 - March 9, 2018
OSAIC INSTITUTIONS, INC.
September 21, 2015 - March 8, 2017
LPL FINANCIAL LLC
September 21, 2015 - March 8, 2017
LPL FINANCIAL LLC
February 12, 2015 - September 22, 2015
INVEST FINANCIAL CORPORATION
February 12, 2015 - September 22, 2015
INVEST FINANCIAL CORPORATION
October 3, 2014 - February 18, 2015
CITIZENS SECURITIES, INC.
April 26, 2010 - April 7, 2011
LPL FINANCIAL LLC
April 26, 2010 - April 7, 2011
LPL FINANCIAL LLC
December 21, 2009 - April 23, 2010
PRUCO SECURITIES, LLC.
November 16, 2009 - April 23, 2010
PRUCO SECURITIES, LLC.
July 6, 2009 - November 10, 2009
EDWARD JONES
June 24, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 3, 2005 - April 16, 2008
CETERA INVESTMENT SERVICES LLC
August 3, 2005 - April 16, 2008
CETERA INVESTMENT SERVICES LLC
May 2, 2005 - July 15, 2005
M&T SECURITIES, INC.
August 13, 2002 - March 5, 2003
PNC CAPITAL MARKETS LLC
June 4, 1998 - December 19, 1998
AVANTAX INVESTMENT SERVICES, INC.
June 3, 1994 - June 11, 1996
MERIDIAN SECURITIES, INC.
August 21, 1986 - April 12, 1994
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.
