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Richard Allen White

CFP®
CRD# 1711232·Registered 1987 - 2022
Previously Registered: Being a previously registered professional could mean that Richard 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.

Professional Summary

Richard Allen White, CFP® was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1987 - 2022. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 22 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®
Certified Financial PlannerSince 1988

Years of Experience

39 years in the financial services industry

Current & Past Employments

CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Tucker, GA
January 16, 2008 - July 1, 2022
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Tucker, GA
July 9, 2007 - July 1, 2022
CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
Tucker, GA
July 2, 2004 - May 9, 2006
CETERA FINANCIAL SPECIALISTS LLC·CRD# 10358
BD
Tucker, GA
June 30, 2004 - May 9, 2006
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.·CRD# 105560
RIA
Tucker, GA
February 11, 2003 - July 2, 2004
HOCHMAN & BAKER SECURITIES, INC.·CRD# 19949
BD
Stamford, CT
November 2, 2001 - June 30, 2004
VERAVEST INVESTMENTS, INC.·CRD# 3960
BD
Worcester, MA
September 23, 1998 - November 15, 1999
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Dallas, TX
October 10, 1995 - August 4, 1998
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Dallas, TX
October 23, 1987 - December 31, 1991

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Current Firm

CW
CETERA WEALTH SERVICES, LLC

CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS

CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Contact Information

Main Address

2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672

Mailing Address

Po Box 983, Saint Cloud, MN 56302

Phone Number

(800) 879-8100

Established

Delaware since 12/31/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

# of Employees

2,881

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISOR NETWORKS LLC - ADV PART 2A AND APPENDIX 1 (6/1/2023)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER—
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
BURKOTT, DANIEL PAULBROKER DEALER CO-CHIEF COMPLIANCE OFFICER4710068
COAXUM, KOFI SULEVICE PRESIDENT5150018
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMVICE PRESIDENT1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERCHIEF EXECUTIVE OFFICER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CO-CHIEF COMPLIANCE OFFICER5059176
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
MOLNAR, MICHAEL JAMESVICE PRESIDENT4866129
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
NILAND, ERIK BRADLEYVICE PRESIDENT2796476
OBRIEN, EDWARD DMANAGER2239064
PATTERSON, GERALDVICE PRESIDENT4302538
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYPRESIDENT AND MANAGER2272183
STONE, TIMOTHY PATRICKVICE PRESIDENT3038963
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
WATTS, ANDREW DAVIDVICE PRESIDENT4780880
WENIG, HARLAN DAVIDVICE PRESIDENT4690768

Regulatory Assets Under Management

Total Number of Accounts

192,956

AUM (Assets Under Management)

$46,651,447,975

Disclosures

Regulatory Event

20

Civil Event

2

Arbitration

15

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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)FIXED INSURANCE PRODUCTS; LIFE AND ANNUITIES. 2)RICAHRD A. WHITE, CPA - OWNER; ACCOUNTING, TAX PREP, AND PLANNING. 3)OWNER OF RENTAL PROPERTY. RESIDENTIAL AND COMMERCIAL. 4) NAME OF OTHER BUSINESS: MOUNTAIN SHADOW CC, LLC; DBA OF SMOKE RISE COUNTRY CLUB INVESTMENT RELATED: NO ADDRESS: 4900 CHEDWORTH DRIVE STONE MOUNTAIN, GEORGIA 30087 NATURE OF BUSINESS: GOLF COURSE POSITION/TITLE/RELATIONSHIP: PARTIAL OWNER START DATE: 2011 APX NUMBER OF HOURS PER WEEK: N/A APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: NO ACTIVE DUTIES 5) NAME OF OTHER BUSINESS: STRAVOLO WEALTH MANAGEMENT LLC; INVESTMENT RELATED: YES; ADDRESS: 775 SPARTAN BLVD SUITE 105, SPARTANBURG, SC 29301; NATURE OF BUSINESS: RIA; START DATE: 2009; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PART OWNER OF RIA; 6) NAME OF OTHER BUSINESS: KASPAR AND WHITE CPA P.C.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX AND ACCOUNTING; START DATE: 12/2020; POSITION/TITLE/RELATIONSHIP: ACCOUNTANT; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: INSURANCE DBA, TRANSITIONING CLIENTS TO NEW FIRM;

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2008About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1995About the Series 6 exam

Series 22 — Direct Participation Programs Representative Examination

Passed Oct 1987About the Series 22 exam

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CRS (Client Relationship Summary)

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

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