Randolph G. Nead

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CRD#: 1589467

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.

Randolph George Nead, CFP®, who also goes by Randolph G Nead, was a registered financial professional .

Randolph is a previously registered financial professional and started their career in finance in 1986. Randolph had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randolph G Nead

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.

(1) NAME OF ENTITY:NEAD FINANCIAL SERVCIES; NO; 542 NORRIS RD DOYELESTOWN TWP; FURLONG; PA; 18925; FINANCIAL SERVICES; OWNER; 8/1/1995; 160; 160; ACCOUNTING, TAX PREPARATION, SALES AND SERVICES OF INSURANCE AND SECURITIES PRODUCTS. COMPUTER COMSULTING. (2) NAME OF ENTITY:FINANCIAL INDEPENDENCE PLANNING, LLC; YES; 33 JENKINS AVE; LANSDALE; PA; 19446; DBA; SALES REP; 1/1/2009; 160; 160; DBA FOR ADVISORY SERVICES, FINANCIAL PLANNING AND THE SALE OF SECURITIES, INSURANCE, AND ADVISORY PRODUCTS. (3) NAME OF ENTITY:RANDY NEAD; YES; 542 NORRIS RD DOYELESTOWN TWP; FURLONG; PA; 18925; RESIDENTIAL REAL ESTATE RENTAL; OWNER; 1/1/1994; 1; 1; RENTING RESIDENTIAL PROPERTIES FOR INCOME, 2 LOCATIONS107 SAHNNON ROAD NORTH WALES PA 200 BAY AVE #209 OCEAN CITY NJ (4)NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; YES; 542 NORRIS RD DOYELESTOWN TWP; FURLONG; PA; 18925; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 9/22/2009; 48; 24; SALES OF FIXED INSURANCE PRODUCTS| (5) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: POA START DATE: 10/2021 ; POSITION/TITLE/RELATIONSHIP: POWER OF ATTORNEY APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: POWER OF ATTORNEY FOR FATHER ;

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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: 1994

Experience

Past

June 29, 2023 - August 1, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

FURLONG, PA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

FURLONG, PA

Past

June 9, 2021 - August 1, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

FURLONG, PA

Past

March 14, 2006 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

CONSHOHOCKEN, PA

Past

January 1, 2004 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

CONSHOHOCKEN, PA

Past

June 1, 2000 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

March 20, 1997 - May 24, 2000

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

October 1, 1995 - December 31, 1996

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

January 13, 1993 - October 1, 1995

RELIASTAR FINANCIAL MARKETING CORP.

CRD#: 4234

SEATTLE, WA

Past

December 2, 1986 - December 23, 1991

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

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 ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 1/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/19/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/24/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/5/2007

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Firm Stability Insights

Randolph G. Nead

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

UNITED SECURITIES ALLIANCE, INC.

VOYA FINANCIAL ADVISORS, INC.

RELIASTAR FINANCIAL MARKETING CORP.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/26/1987

SIE

Date: 10/1/2018

Series 7

Date: 2/11/2008

Series 6

Date: 11/19/1986

Series 24

Date: 3/24/2008

Series 26

Date: 3/5/2007

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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