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RK

Richard T. Kaczor

CETERA INVESTMENT ADVISERS
SCHAUMBURG, IL 60173
Some features on this profile are disabled
CRD#: 2446577
RK

Professional summary

Richard Tom Kaczor, who also goes by Richard Kaczor, Richard T Kaczor, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Schaumberg, Illinois.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard Kaczor | Richard T Kaczor

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Tom Kaczor'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 939 N Plum Grove Road Suite F, Schaumburg, IL 60173
RIA
CRD#: 105644
SCHAUMBURG, IL
Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1015 W Wise Rd Ste 101, Schaumberg, IL 60193
BD
CRD#: 13572
Schaumberg, IL
Past

February 2, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Schaumburg, IL
Past

February 2, 2022 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Schaumberg, IL
Past

September 20, 2021 - January 3, 2022

RETIREMENT PLAN ADVISORS, LLC

RIA
CRD#: 122758
Schaumburg, IL
Past

September 2, 2021 - December 31, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Schaubmurg, IL
Past

October 12, 2020 - June 23, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SCHAUMBURG, IL
Past

October 10, 2020 - June 23, 2021

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

June 30, 2010 - December 7, 2011

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

April 9, 2009 - December 31, 2009

PFS INVESTMENTS INC.

BD
CRD#: 10111
OAK BROOK, IL
Past

November 7, 2005 - May 10, 2007

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

September 11, 2002 - November 11, 2003

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
MINNEAPOLIS, MN
Past

April 12, 2002 - August 9, 2002

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

January 23, 2001 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

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
Florida
(9/5/2025)
RR
Illinois
(9/5/2025)
IAR
Illinois
(9/5/2025)
RR
Nevada
(9/5/2025)
RR
Wisconsin
(9/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/24/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/19/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/10/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/24/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/22/2001
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Schaumburg, IL 60173

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