Richard G. Wonka
Professional summary
Richard Gregory Wonka, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Buffalo, Wyoming and CETERA WEALTH SERVICES, LLC located in Buffalo, Wyoming.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Gregory Wonka's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 112 W Angus St, Buffalo, WY 82834January 29, 2004 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 112 W Angus St, Buffalo, WY 82834May 26, 2016 - June 29, 2023
CETERA WEALTH SERVICES, LLC
February 2, 2004 - December 31, 2006
CETERA WEALTH SERVICES, LLC
January 2, 2003 - January 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 14, 1994 - January 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 28, 1994 - September 13, 1994
EDWARD JONES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/27/2025)
(1/2/2009)
(10/31/2005)
(5/23/2013)
(1/29/2004)
(1/29/2004)
(11/6/2007)
(1/29/2004)
(10/19/2006)
(1/3/2011)
(3/14/2005)
(2/11/2013)
(1/29/2004)
(11/1/2019)
(8/30/2016)
(5/2/2023)
(1/29/2004)
(6/1/2018)
(10/25/2024)
(1/3/2011)
(1/3/2018)
(6/13/2018)
(6/29/2023)
(8/1/2022)
(7/20/2023)
(8/17/2004)
(6/29/2023)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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#: 105644Buffalo, WY 82834TRUST BUT VERIFY
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