Richard N. Cederberg
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 Nelson Cederberg, who also goes by Rick Cederberg, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2013 - December 31, 2023
EQUITY SERVICES, INC.
October 23, 2013 - December 31, 2023
EQUITY SERVICES, INC.
September 25, 2012 - October 8, 2013
PRUCO SECURITIES, LLC.
August 15, 2012 - October 8, 2013
PRUCO SECURITIES, LLC.
January 18, 2011 - July 19, 2012
MSI FINANCIAL SERVICES, INC.
January 18, 2011 - July 19, 2012
MSI FINANCIAL SERVICES, INC.
August 12, 2009 - January 4, 2010
NEW ENGLAND SECURITIES
August 12, 2009 - January 4, 2010
NEW ENGLAND SECURITIES
November 4, 2003 - April 2, 2004
NEW ENGLAND SECURITIES
June 13, 2001 - September 2, 2010
MSI FINANCIAL SERVICES, INC.
October 9, 2000 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 9, 2000 - September 2, 2010
MSI FINANCIAL SERVICES, INC.
September 29, 1986 - July 10, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 1 |
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.
