Richard J. Rapp
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 James Rapp, who also goes by Dick Rapp, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 10 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - February 28, 2017
CETERA INVESTMENT ADVISERS LLC
February 8, 2007 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
July 28, 1999 - February 28, 2017
CETERA INVESTMENT SERVICES LLC
September 3, 1997 - May 14, 1999
U.S. BANCORP INVESTMENTS, INC.
February 27, 1996 - September 3, 1997
U.S. BANCORP SECURITIES
July 21, 1993 - February 21, 1996
INVEST FINANCIAL CORPORATION
August 26, 1992 - June 24, 1993
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 24, 1991 - April 28, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 1990 - April 16, 1991
IDS LIFE INSURANCE COMPANY
September 6, 1990 - April 16, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 1989 - September 6, 1990
EDWARD JONES
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 |
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.
