Richard W. Duff
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 W Duff, who also goes by Richard William Duff, Rick Duff, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, 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
Experience
May 14, 2020 - January 13, 2021
CETERA INVESTMENT ADVISERS LLC
May 13, 2020 - January 13, 2021
CETERA FINANCIAL SPECIALISTS LLC
September 1, 2016 - August 24, 2018
TRUIST ADVISORY SERVICES, INC.
June 21, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
June 13, 2016 - August 24, 2018
TRUIST INVESTMENT SERVICES, INC.
July 26, 2011 - June 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2011 - June 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2010 - February 7, 2011
MORGAN STANLEY
March 8, 2010 - February 7, 2011
MORGAN STANLEY
December 16, 2009 - January 5, 2010
PRINCIPAL SECURITIES, INC.
June 3, 1997 - December 3, 1997
DUNWOODY BROKERAGE SERVICES, INC.
June 6, 1995 - February 3, 1997
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
September 22, 1994 - May 25, 1995
DIRECTED SERVICES LLC
March 16, 1990 - July 18, 1994
UBS FINANCIAL SERVICES INC.
May 27, 1987 - March 27, 1990
CITIGROUP GLOBAL MARKETS INC.
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.
