Richard J. Koll
Professional summary
Richard John Koll, who also goes by Richard J Koll, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Lee, New Jersey and CETERA INVESTMENT SERVICES LLC located in Astoria, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 10 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard John Koll's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1589 Palisades Ave, Fort Lee, NJ 07024Office #2: 31-10 37th Avenue Suite 400, Long Island City, NY 11101July 14, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 28-31 31st Street, Astoria, NY 11102Office #2: 1589 Palisade Ave, Fort Lee, NJ 07024Office #3: 196-03 Northern Blvd, Flushing, NY 11358Office #4: 8424 5th Ave, Brooklyn, NY 11209Office #5: 4401 13th Ave, Brooklyn, NY 11219Office #6: 41-02 Broadway, Astoria, NY 11103Office #7: 1133 Main Ave, Clifton, NJ 07011Office #8: 28-20 Ditmars Blvd, Astoria, NY 11105Office #9: 1218 Kings Highway, Brooklyn, NY 11229Office #10: 1023 Avenue Of The Americas, New York, NY 10018Office #11: 1705 Crosby Ave, Bronx, NY 10461Office #12: 20 West Railroad Ave, Tenafly, NJ 07670Office #13: 805 Port Washington Blvd, Port Washington, NY 11050Office #14: 31-10 37th Avenue Suite 400, Long Island City, NY 11101February 26, 2024 - June 24, 2025
OSAIC INSTITUTIONS, INC.
February 11, 2022 - June 24, 2025
OSAIC INSTITUTIONS, INC.
December 6, 2017 - January 27, 2022
CETERA INVESTMENT SERVICES LLC
May 16, 2017 - December 6, 2017
INVEST FINANCIAL CORPORATION
September 30, 2014 - March 31, 2017
NAVIAN CAPITAL SECURITIES LLC
August 18, 2008 - June 18, 2014
ESSEX NATIONAL SECURITIES, LLC
April 11, 2006 - August 20, 2008
INVEST FINANCIAL CORPORATION
January 10, 2006 - April 10, 2006
APEX CLEARING CORPORATION
May 30, 2002 - January 4, 2006
IFMG SECURITIES, INC.
November 12, 1998 - January 4, 2006
IFMG SECURITIES, INC.
March 10, 1992 - April 28, 1997
EQUITABLE ADVISORS, LLC
May 24, 1990 - June 14, 1991
EQUITABLE ADVISORS, LLC
May 24, 1990 - April 28, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
(7/14/2025)
(7/15/2025)
(8/1/2025)
(8/1/2025)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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.
