RH
Richard M. Hodgman
CETERA INVESTMENT ADVISERS LLC
HILLSDALE, NJ 07642
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CRD#: 2391246
RH
Professional summary
Richard M Hodgman, who also goes by Rick Hodgman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hillsdale, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Hillsdale, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Hodgman
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)RM HODGMAN & CO, CPA'S,,NOT INVESTMENT RELATED, PUBLIC ACCTG, TAX PREP & CONSULTING, MANAGING PARTNER, SD:5/97, MANAGE ACCTG PRACTICE, 50-60HR WORK WEEK, PARTNER: MORIE SATHANANTHAN, 101 WEST ST ST 3 HILLSDALE, NJ 07642; 2) UMPIRE FOR SOFTBALL GAMES ASA, NOT INV REL, INDEPENDENT CONTRACTOR, SINCE 04/2007, 10-14H/WK 3) NAME OF OTHER BUSINESS: HEIGHTENED INDEPENDENCE AND PROGRESS, INC.; INVESTMENT RELATED: NO; ADDRESS: 131 MAIN STREET SUITE 120, HACKENSACK, NJ 07601; NATURE OF BUSINESS: PUBLIC CHARITY; START DATE: 11/2016; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: OVERSEE ON A BI-MONTHLY BASIS ACCOUNTING OF THE AGENCY; 4) NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: 131 MAIN STREET SUITE 120, HACKENSACK, NJ 07601 NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 11/2016; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZE SIGNATURES; 5)NAME OF OTHER BUSINESS: MOTHER SETON COUNCIL 5427, KNIGHTS OF COLUMBUS INVESTMENT RELATED: NO ; ADDRESS: 79 PASCACK RD, TOWNSHIP OF WASHINGTON, NJ 07676 NATURE OF BUSINESS: BOOKKEEPING ; START DATE: 07/2019 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL SECRETARY ; APX NUMBER OF HOURS PER WEEK: 2-3 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2-3 ; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR ALL RECEIPTS RECORDED AND PASSED ON TO THE TREASURER 6) NAME OF OTHER BUSINESS: EMERSON NJ PUBLIC LIBRARY BOARD OF TRUSTEES; INVESTMENT RELATED: NO; ADDRESS: 20 PALISADE AVE EMERSON NJ 07630; NATURE OF BUSINESS: PUBLIC LIBRARY; START DATE: 1/2020; POSITION/TITLE/RELATIONSHIP: PRESIDENT OF BOARD OF TRUSTEE; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: CONDUCT MONTHLY MEETINGS, APPROVE AND PAY INVOICES, REV ANNUAL BUDGETS; 7) NAME OF OTHER BUSINESS: MOTHER SETON COUNCIL 5427 KNIGHTS OF COLUMBUS; INVESTMENT RELATED: NO; ADDRESS: 79 PASCACK RD TWP OF WASHINGTON, NJ 07676; NATURE OF BUSINESS: FRATERNAL ORGANIZATION; START DATE: 9/2022; POSITION/TITLE/RELATIONSHIP: GRAND KNIGHT; APX NUMBER OF HOURS PER WEEK: 3-5; APX NUMBER OF HOURS DURING TRADING HOURS: 3-5; BRIEF DESCRIPTION OF DUTIES: SERVING AS OFFICER FOR COUNCIL 5427, FRATERNAL ORGANIZATION; 8) NAME OF OTHER BUSINESS: EMERSON (NJ) SENIORS, INVESTMENT RELATED: NO, ADDRESS: 20 PALISADE AVE, EMERSON, NJ 07630, NATURE OF BUSINESS: NON-PROFIT, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 3, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: MAINTAIN THE FINANCIAL RECORDS OF THE ORGANIZATION.;
CRS (Client Relationship Summary) - RIA
Click below to view Richard M Hodgman'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 14, 2017 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 101 West Street Suite Three, Hillsdale, NJ 07642RIA
CRD#: 105644
HILLSDALE, NJ
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 101 West Street Suite Three, Hillsdale, NJ 07642BD
CRD#: 10358
Hillsdale, NJ
Past
September 16, 1993 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
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 Jersey(10/24/2005)
IAR
New Jersey(6/14/2017)
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.
