RN
Richard E. Nelson
CETERA INVESTMENT ADVISERS LLC
MEQUON, WI 53092-5799
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CRD#: 2157260
RN
Professional summary
Richard E Nelson, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mequon, Wisconsin and CETERA FINANCIAL SPECIALISTS LLC located in Fredonia, Wisconsin.
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 3 firms and has passed the Series 63, SIE and Series 7 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) TAX & ACCTG PRAC-OWNER/PRES, LIMITED POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS, SINCE 8/3/73-PERSON IN CHARGE OF CPA PRAC-45HR/WK. 2)RICHARD AND NANCY NELSON, NOT INVESTMENT RELATED, N. 11013 BUCKBER ROAD, CLINTONVILLE, WI, TIMBER FARM, START 2013, 1 HR/WK, SUPERVISION AND MAINTENANCE OF TREES, MAINTAIN FIRE LANES AND MOW FIELDS; 3) NAME OF OTHER BUSINESS: AMERICAN LEGION POST 410 FREDONIA WI, INVESTMENT RELATED: NO, ADDRESS: AMERICANISM AVENUE, WAUBEKA, WI 53021, NATURE OF BUSINESS: NON-PROFIT, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: COMMANDER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: CONDUCT LEGION MEETINGS;
CRS (Client Relationship Summary) - RIA
Click below to view Richard E Nelson'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®
CFP®
Start date: 1996
Experience
Current
June 29, 2006 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10033 North Port Washington Rd Ste 200, Mequon, WI 53092-5799RIA
CRD#: 105644
MEQUON, WI
Current
June 30, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #2: 10033 North Port Washington Rd Ste 200, Mequon, WI 53092-5799BD
CRD#: 10358
FREDONIA, WI
Past
November 12, 1991 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, 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
Arizona(10/31/2019)
RR
California(6/30/2004)
RR
Colorado(6/30/2004)
RR
Florida(7/6/2004)
RR
Illinois(6/30/2004)
RR
Kentucky(11/30/2018)
RR
Michigan(6/30/2004)
RR
Minnesota(5/21/2019)
RR
North Carolina(1/2/2025)
RR
Wisconsin(6/30/2004)
IAR
Wisconsin(6/29/2006)
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
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Mequon, WI 53092-5799TRUST BUT VERIFY
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