Richard L. Ralston

CETERA INVESTMENT ADVISERS LLC

Pensacola, FL 32504

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CRD#: 2879226

Professional summary

Richard Lee Ralston, who also goes by Rich Lee Ralston, Rich Ralston, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pensacola, Florida and CETERA WEALTH SERVICES, LLC located in Pensacola, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Lee Ralston | Rich Ralston

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.

(dba) PARKWAY FINANCIAL GROUP; Investment Related; 2629 Creighton Road, Suite 3, Pensacola, FL 32504; Financial Services; President; Start Date 02/2005; 175 hours per month with 150 hours per month occurring during trading hours; Provide investment advice and services as well as insurance products and services to include life, disability, and long-term care.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Ralston'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

February 17, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4303a Spanish Trail, Pensacola, FL 32504

RIA

CRD#: 105644

Pensacola, FL

Current

January 31, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4303a Spanish Trail, Pensacola, FL 32504

CRD#: 13572

Pensacola, FL

Past

July 10, 2017 - February 21, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Pensacola, FL

Past

July 7, 2017 - February 21, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Pensacola, FL

Past

January 30, 2015 - July 11, 2017

STONEX ADVISORS INC.

RIA

CRD#: 174182

BIRMINGHAM, AL

Past

September 12, 2014 - July 11, 2017

STONEX SECURITIES INC.

CRD#: 18456

PENSACOLA, FL

Past

February 23, 2010 - January 30, 2015

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

TRAVERSE CITY, MI

Past

February 1, 2006 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

TRAVERSE CITY, MI

Past

January 20, 2000 - February 1, 2006

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

TRAVERSE CITY, MI

Past

June 30, 1998 - February 2, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

July 3, 1997 - May 29, 1998

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 3, 1997 - May 29, 1998

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(2/21/2025)

Alaska
(2/21/2025)

Colorado
(2/21/2025)

Florida
(1/31/2025)

IAR

Florida
(2/17/2025)

Georgia
(2/21/2025)

Indiana
(2/21/2025)

Massachusetts
(3/12/2025)

Michigan
(2/21/2025)

Nebraska
(11/6/2025)

South Carolina
(2/21/2025)

Tennessee
(2/21/2025)

Texas
(2/21/2025)

IAR

Texas
(2/21/2025)

Virginia
(2/21/2025)

Washington
(2/21/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/22/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/2/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Advisor Monitoring

Firm Stability Insights

Richard L. Ralston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Ralston's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

STONEX ADVISORS INC.

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

COMMONWEALTH FINANCIAL NETWORK

NYLIFE SECURITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2010

Series 63

Date: 6/17/1997

SIE

Date: 10/1/2018

Series 6

Date: 7/2/1997

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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