RG
Richard A. Gwizdala
CETERA INVESTMENT ADVISERS LLC
NORTH OAKS, MN
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CRD#: 1998051
RG
Professional summary
Richard Alan Gwizdala is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in North Oaks, Minnesota and CETERA WEALTH SERVICES, LLC located in White Bear Lake, Minnesota.
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 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
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) Gwizdala & Associates Inc.; 4519 Allendale Drive, White Bear Lake, MN 55127; Tax Preparation/Accounting, President; 1/20/2005; 190hrs; 190hrs; Manager, tax prep & review 2) Richard A. Gwizdala co.; 5001 Centerville Rd, North Oaks, MN 55127; Tax Preparation/Accounting~Owner/Sole Proprietor~8/9/2004~2hrs~0hrs~Tax preparation 3) Weston Woods Townhouse Assoc; 4519 Allendale Dr, White Bear Lake, MN 55127; Treasurer/Comptroller~3/15/2010~1hrs~1hrs~Maintain budget, collect dues & pay bills of the association. 4) MRK FINANCIAL SOLUTIONS POSITION: Consultant NATURE: I am associated with MRK thru the Avantax partner program. I refer clients for investment needs. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 3 START DATE: 07/12/2011; 3020 Harbor Ln. No., Plymouth MN 55447, US; Refer and consult regarding client investment and tax solutions and needs. 5) TRUPLAN FINANCIAL ADVISORS POSITION: Referring Rep NATURE: I am a referring advisor to MRK Financial Solutions. They are rebranding as TruPlan Financial Advisors. I will continue to be a referring advisor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 03/20/2025 ADDRESS: 3020 Harbor Ln. No., Plymouth MN 55447, United States DESCRIPTION: Refer clients for planning. Meet with clients and planner. Answer client questions. 6) "TruPlan Financial Advisors; Referring Rep; I am a referring advisor to MRK Financial Solutions. They are rebranding as TruPlan Financial Advisors. I will continue to be a referring advisor.; IR; 10; 03/20/2025; 3020 Harbor Ln. No. Plymouth MN 55447; Refer clients for planning. Meet with clients and planner. Answer client questions."
CRS (Client Relationship Summary) - RIA
Click below to view Richard Alan Gwizdala's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NORTH OAKS, MN
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4519 Allendale Dr, White Bear Lake, MN 55127BD
CRD#: 13572
WHITE BEAR LAKE, MN
Past
January 8, 2014 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
NORTH OAKS, MN
Past
December 11, 1989 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WHITE BEAR LAKE, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Idaho(9/5/2025)
RR
Iowa(9/5/2025)
RR
Michigan(9/5/2025)
RR
Minnesota(9/5/2025)
IAR
Minnesota(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
