Richard J. Anthony
Professional summary
Richard Jeffery Anthony, who also goes by Richard Jeffrey Anthony, Rick Anthony, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Albany, New York and CETERA WEALTH SERVICES, LLC located in Amsterdam, New York.
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 20 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Jeffery Anthony's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 200 Great Oaks Blvd Ste 221, Albany, NY 12203Office #2: 4200 State Hwy 30, Amsterdam, NY 12010June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4200 State Hwy 30, Amsterdam, NY 12010Office #2: 200 Great Oaks Blvd Ste 221, Albany, NY 12203June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
November 13, 2015 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
August 29, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
August 20, 2012 - September 16, 2014
CADARET, GRANT & CO., INC.
August 1, 2012 - September 16, 2014
CADARET, GRANT & CO., INC.
January 17, 2012 - August 7, 2012
CURIAN CAPITAL, LLC
January 12, 2012 - August 7, 2012
CURIAN CLEARING, LLC
January 1, 2010 - September 9, 2011
INVESCO ADVISERS, INC.
May 10, 2002 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
January 4, 2000 - September 9, 2011
INVESCO DISTRIBUTORS, INC.
August 3, 1999 - January 7, 2000
AFD, INC.
November 18, 1997 - November 17, 1998
KEYPORT FINANCIAL SERVICES CORP.
July 14, 1997 - October 9, 1997
HOWARD WEIL INCORPORATED
May 14, 1996 - July 16, 1997
APEX CLEARING CORPORATION
December 2, 1992 - April 18, 1996
KEY INVESTMENTS INC.
April 2, 1992 - December 31, 1992
INDEPENDENT FINANCIAL SECURITIES, INC.
November 4, 1991 - February 25, 1992
KEY INVESTMENTS INC.
July 2, 1991 - September 27, 1991
METROPOLITAN LIFE INSURANCE COMPANY
July 1, 1991 - September 27, 1991
MSI FINANCIAL SERVICES, INC.
February 23, 1990 - July 9, 1990
VANDERBILT SECURITIES, INC.
January 23, 1990 - February 7, 1990
FIRST FIDELITY CAPITAL CORP.
October 25, 1989 - February 13, 1990
J. T. MORAN & CO., 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
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Exams
FINRA
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.
