RP
Richard E. Palumbo
CETERA INVESTMENT ADVISERS LLC
WEST NEWTON, MA 02465
Some features on this profile are disabled
CRD#: 2269437
RP
Professional summary
Richard Edward Palumbo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Newton, Massachusetts and CETERA ADVISORS LLC located in West Newton, Massachusetts.
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 5 firms and has passed the Series 65, 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.
NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERD LOCATION,
NATURE OF BUSINESS: FIXED INSURANCE,
START DATE: 8/2016,
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, HEALTH, LONG TERM CARE, AND PROPERTY & CASUALTY;
NAME OF OTHER BUSINESS: KEI-DER ASSOCIATES, INC,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERD LOCATION,
NATURE OF BUSINESS: DBA FOR FIXED INSURANCE,
START DATE: 11/1991,
APX NUMBER OF HOURS PER WEEK: 8,
APX NUMBER OF TRADING HOURS PER WEEK: 8,
POSITION/TITLE/RELATIONSHIP: PRESIDENT,
BRIEF DESCRIPTION OF DUTIES: SALES AND MARKETING ACTIVITIES;
CRS (Client Relationship Summary) - RIA
Click below to view Richard Edward Palumbo'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
Office #1: 1481 Commonwealth Avenue, West Newton, MA 02465RIA
CRD#: 105644
WEST NEWTON, MA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 1481 Commonwealth Avenue, West Newton, MA 02465BD
CRD#: 10299
West Newton, MA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
January 13, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
READING, MA
Past
January 12, 2004 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
MELROSE, MA
Past
April 3, 2003 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
READING, MA
Past
September 15, 1992 - March 24, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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
California(10/7/2020)
RR
Florida(10/3/2016)
RR
Maine(1/3/2020)
RR
Massachusetts(10/3/2016)
IAR
Massachusetts(3/21/2024)
RR
New Hampshire(10/3/2016)
RR
New Jersey(1/4/2023)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644West Newton, MA 02465TRUST BUT VERIFY
Monitor Richard Palumbo
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
