Richard D. Stallings
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Dale Stallings, who also goes by Richard D Stallings, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2020 - June 30, 2021
CETERA INVESTMENT ADVISERS LLC
September 24, 2013 - June 22, 2016
ROSSI AND ASSOCIATES
August 23, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
July 10, 2012 - July 27, 2012
FIRST ALLIED SECURITIES, INC.
July 26, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
April 3, 1996 - June 30, 2021
FIRST ALLIED SECURITIES, INC.
March 7, 1995 - April 5, 1996
METROPOLITAN LIFE INSURANCE COMPANY
March 7, 1995 - April 5, 1996
MSI FINANCIAL SERVICES, INC.
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
Exams
Series 62
Date: 12/5/2000
Corporate Securities Limited Representative ExaminationCurrent 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 | ||
| 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.
