RJ
Robert W. Jeffords
CETERA INVESTMENT ADVISERS LLC
GREENWICH, NY
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CRD#: 2103347
RJ
Professional summary
Robert Willard Jeffords is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenwich, New York and CETERA ADVISORS LLC located in Greenwich, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, 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 OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE AND ANNUITIES; 2.NAME OF OTHER BUSINESS: ROBERT W. JEFFORDS, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: INCOME TAX PREPARATION, PAYROLL AND TAX PREPERATION, ACCOUNTING SERVICES, START DATE: 7/2016, APX NUMBER OF HOURS PER WEEK: 12, APX NUMBER OF TRADING HOURS PER WEEK: 12, POSITION/TITLE/RELATIONSHIP: REGISTERED INCOME TAX PREPARER, BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION; 3.NAME OF OTHER BUSINESS: SOUTHERN ADIRONDACK LIBRARY SYSTEM, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: LIBRARY SYSTEM, START DATE: 7/2016, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: TREASURER, BRIEF DESCRIPTION OF DUTIES: SIGN CHECKS, CASH MANAGEMENT, AND ACCOUNTING OVERSIGHT;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Willard Jeffords'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
GREENWICH, NY
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Greenwich, NY
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
September 23, 2008 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
GREENWICH, NY
Past
December 12, 2001 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
GREENWICH, NY
Past
May 7, 1996 - December 11, 2001
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
BOLTON, MA
Past
October 24, 1990 - October 19, 1992
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
Past
October 24, 1990 - May 15, 1996
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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
New Hampshire(10/3/2016)
RR
New York(10/3/2016)
IAR
New York(3/21/2024)
RR
South Carolina(9/18/2024)
RR
Texas(10/3/2016)
IAR
Texas(3/21/2024)
RR
Vermont(10/3/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/16/2021
General Securities Representative ExaminationGeneral 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.
