Richard S. Murnick

CETERA INVESTMENT ADVISERS LLC

CALDWELL, NJ 07006

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CRD#: 2139212

Professional summary

Richard Scott Murnick, who also goes by Rich Murnick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Caldwell, New Jersey and CETERA ADVISORS LLC located in Caldwell, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Murnick

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.

DBA: MURNICK FINANCIAL GROUP 210 BELLEVUE AVE MONTCLAIR NJ 07043 SECURITIES. DBA 2: ATHLETE ADVISORY SERVICES. 210 BELLEVUE AVE, MONTCLAIR NJ 07043***FIXED INSURANCE. MURNICK FINANCIAL GROUP. 210 BELLEVUE AVENUE MONTCLAIR, NJ 07043. INSURANCE SALES, AGENT. 2000. HRS/MONTH: 1 HRS/TRADING: 1***FIXED INSURANCE. ATHLETE ADVISORY SERVICES. 210 BELLEVUE AVENUE MONTCLAIR, NJ 07043. INSURANCE SALES, AGENT. 2013. HRS/MONTH: 1 HRS/TRADING: 1 NAME OF OTHER BUSINESS: MURNICK FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: 210 BELLEVUE AVE MONTCLAIR NJ 07043, NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES BUSINESS, START DATE: 2002, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: PRESIDENT/CEO, BRIEF DESCRIPTION OF DUTIES: DBA;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Murnick's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 333 Bloomfield Ave Suite 202, Caldwell, NJ 07006

RIA

CRD#: 105644

CALDWELL, NJ

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

Office #1: 333 Bloomfield Ave Suite 202, Caldwell, NJ 07006

CRD#: 10299

CALDWELL, NJ

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

FAIRFIELD, NJ

Past

May 17, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

MONTCLAIR, NJ

Past

May 17, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

MONTCLAIR, NJ

Past

October 4, 2002 - June 9, 2005

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

MONTCLAIR, NJ

Past

August 21, 2002 - June 9, 2005

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

July 18, 2002 - August 28, 2002

RYAN BECK & CO.

RIA

CRD#: 3248

FORT LEE, NJ

Past

April 29, 2002 - August 28, 2002

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

July 15, 1999 - May 17, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

November 18, 1996 - July 15, 1999

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

July 12, 1994 - June 23, 1997

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

Past

July 31, 1993 - August 1, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 19, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 12, 1991 - August 20, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(10/3/2016)

California
(10/3/2016)

Colorado
(8/24/2020)

Connecticut
(10/3/2016)

Delaware
(10/3/2016)

Florida
(10/4/2016)

Georgia
(10/3/2016)

Kentucky
(10/3/2016)

Maryland
(10/3/2016)

Massachusetts
(10/3/2016)

Minnesota
(10/3/2016)

Montana
(11/15/2021)

Nevada
(10/3/2016)

New Hampshire
(12/21/2023)

New Jersey
(10/3/2016)

IAR

New Jersey
(3/21/2024)

New Mexico
(4/30/2018)

New York
(10/3/2016)

North Carolina
(10/3/2016)

Ohio
(10/27/2023)

Oklahoma
(10/3/2016)

Oregon
(4/8/2024)

Pennsylvania
(10/3/2016)

Rhode Island
(10/3/2016)

South Carolina
(10/3/2016)

South Dakota
(10/3/2016)

Tennessee
(10/3/2016)

Texas
(10/3/2016)

IAR

Texas
(3/21/2024)

Virginia
(10/3/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 5/18/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/3/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Richard S. Murnick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Murnick's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

RYAN BECK & CO.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

CIBC WORLD MARKETS CORP.

GKN SECURITIES CORP.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/1991

SIE

Date: 10/1/2018

Series 7

Date: 6/26/1991

Series 24

Date: 12/30/2002

Series 10

Date: 5/18/2000

Series 9

Date: 2/3/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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