Richard Blaney

CETERA INVESTMENT ADVISERS LLC

FAIRFIELD, NJ 07004

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CRD#: 1638483

Professional summary

Richard Blaney, CFP®, who also goes by Rich Blaney, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fairfield, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Fairfield, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Blaney

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) STEPHEN P GUNBY & ASSOC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, CONTRACTOR, TAX PREPARATION, DATA ENTRY, 12H/WEEK, SINCE 02/2020. 2) NAME OF OTHER BUSINESS: VERONA CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: PO BOX 31 VERONA, NJ 07044; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2024 ; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RECRUIT AND MAINTAIN MEMBERSHIP AND STAGE EVENTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Blaney'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: 2008

Experience

Current

May 2, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 277 Fairfield Road Suite 207, Fairfield, NJ 07004

RIA

CRD#: 105644

FAIRFIELD, NJ

Current

February 21, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 277 Fairfield Road Suite 100, Fairfield, NJ 07004

CRD#: 10358

Fairfield, NJ

Past

May 22, 2015 - December 31, 2022

BEECHWOOD FINANCIAL SERVICES, LLC

RIA

CRD#: 135321

VERONA, NJ

Past

January 31, 2013 - May 9, 2014

TUTTLE WEALTH MANAGEMENT, LLC

RIA

CRD#: 123767

STAMFORD, CT

Past

July 26, 2005 - April 20, 2012

BEECHWOOD FINANCIAL SERVICES, LLC

RIA

CRD#: 135321

FAIRFIELD, NJ

Past

September 21, 1992 - March 11, 1999

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 18, 1989 - October 7, 1992

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New Jersey
(5/2/2023)

IAR

New Jersey
(5/2/2023)

New York
(5/1/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/28/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/22/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/21/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/30/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

Richard Blaney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Blaney's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

BEECHWOOD FINANCIAL SERVICES, LLC

TUTTLE WEALTH MANAGEMENT, LLC

BEECHWOOD FINANCIAL SERVICES, LLC

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/28/2023

Series 65

Date: 7/22/2005

Series 7TO

Date: 2/21/2023

SIE

Date: 1/30/2023

Series 7

Date: 4/15/1989

FINRA

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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