RB
Richard A. Bachand
CETERA INVESTMENT ADVISERS LLC
AVON, CT 06001
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CRD#: 2067113
RB
Professional summary
Richard A Bachand is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Avon, Connecticut and CETERA WEALTH SERVICES, LLC located in Avon, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 6 firms and has passed the Series 63, Series 65, 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. NAME OF ENTITY:TARLOV FINANCIAL GROUP; Yes; 20 TOWER LANE; AVON; CT; 06001; FINANCIAL SERVICES/DBA; INDEPENDENT INSURANCE AGENT; 1/1/2005; 200; 200; SALE OF FIXED INSURANCE & SECURITIES AND INVESTMENT PRODUCTS 2. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 20 TOWER LANE; AVON; CT; 6001; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/1/2009; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 3. NAME OF ENTITY:Rich Bachand Financial; Yes; 20 TOWER LANE; AVON; CT; 06001; DBA; owner; 5/1/2010; 160; 160; sales and service of fixed insurance products 4. NAME OF ENTITY:Tarlov Ford Berry Financial Group; Yes; 20 Tower Lane; Avon; CT; 06001; Financial Services/dba; Senior Financial Advisor; 6/1/2021; 190; 173; Sale and Service, Insurance, Securities and Investment Products; 5. NAME OF OTHER BUSINESS: PARAGON FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE:10/2024, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Richard A Bachand'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 20 Tower Ln Ste 210, Avon, CT 06001RIA
CRD#: 105644
AVON, CT
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 20 Tower Ln Ste 210, Avon, CT 06001BD
CRD#: 13572
Avon, CT
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 31, 2008 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
AVON, CT
Past
January 6, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
AVON, CT
Past
April 10, 1997 - January 6, 2005
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
February 7, 1992 - April 4, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 7, 1992 - April 4, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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(6/9/2021)
RR
Connecticut(6/9/2021)
IAR
Connecticut(6/29/2023)
RR
Massachusetts(1/14/2022)
RR
New Hampshire(6/9/2021)
RR
New York(6/9/2021)
RR
Rhode Island(2/14/2022)
RR
Vermont(7/10/2023)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
