RS
Richard R. Snowden
CETERA INVESTMENT ADVISERS LLC
BRYAN, TX
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CRD#: 1652254
RS
Professional summary
Richard Ray Snowden, AIF®, who also goes by Rick Snowden, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bryan, Texas and CETERA INVESTMENT SERVICES LLC located in Bryan, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Snowden
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. CHAIRMAN OF PLANNED GIVING COMMITTEE AT FIRST BAPTIST CHURCH; 2. MCCULLOUGH CREEK PROPERTIES LLC, PURPOSE OF OWNING AGRICULTURAL LAND, 50% OWNER, SPOUSE OTHER 50% OWNER 3. FIVE STONES WEALTH MANAGEMENT, LLC. 100% OWNER, FORMED FOR CETERA BUSINESS, LIABILITY PROTECTION AND TAX REPORTING PURPOSES 4. BOARD MEMBER FOR MILLICAN RESERVE MUNICIPAL UTILITY DISTRICT; ATTEND MEETINGS TO REVIEW AND APPROVE POLICIES FOR OPERATION AND MANAGEMENT OF THE DISTRICT; LESS THAN 1 HR/WK 5. COUNCIL MEMBER FOR ONE CHURCH ONE BODY; ADVISE CHURCH STAFF TO LONG RANGE AND/OR STRATEGIC PLANNING; 1-2 HRS/MOS. 6. MEMBER OF FUNDRAISING COMMITTEE FOR PEACOCK LEGACY OF HOPE; TRANSITIONAL HOUSING FOR SINGLE MOTHERS AND THEIR CHILDREN IN CRISIS; GOAL OF RAISING FUNDS TO CONSTRUCT ADDITIONAL HOUSING FOR PLH'S CLIENTS; 1-2 HRS/WK
CRS (Client Relationship Summary) - RIA
Click below to view Richard Ray Snowden's 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®
Experience
Current
July 25, 2018 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 1716 Briarcrest Drive Suite 730, Bryan, TX 77802RIA
CRD#: 105644
BRYAN, TX
Current
July 25, 2018 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1716 Briarcrest Dr 3rd Floor, Bryan, TX 77802BD
CRD#: 15340
Bryan, TX
Past
September 23, 1999 - August 21, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
COLLEGE STATION, TX
Past
September 23, 1999 - August 21, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
COLLEGE STATION, TX
Past
July 12, 1999 - October 6, 1999
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
May 2, 1997 - July 12, 1999
ARK FUNDS DISTRIBUTORS, LLC
BD
CRD#: 17685
PORTLAND, ME
Past
July 16, 1992 - August 31, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 17, 1987 - December 17, 1987
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
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
Florida(1/9/2020)
RR
Illinois(12/26/2018)
RR
Kansas(7/25/2018)
RR
Texas(7/25/2018)
IAR
Texas(7/25/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck 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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
