RR
Richard S. Rawlins
CETERA INVESTMENT ADVISERS LLC
SOUTHLAKE, TX 76092
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CRD#: 2888660
RR
Professional summary
Richard Scott Rawlins, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Southlake, Texas and CETERA FINANCIAL SPECIALISTS LLC located in Southlake, Texas.
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 4 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) YOUNG LIFE (GRAPEVINE COLLEYVILLE), NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, BOARD MEMBER, PREPARE/UPDATE LOCAL COMMITTEE ON FINANCIAL STANDING OF CLUB, SINCE 5/2020, 2H/WEEK 2) NAME OF OTHER BUSINESS: FAIRPOINTE WEALTH PARTNERS, LLC; INVESTMENT RELATED: NO; ADDRESS: 530 E SOUTHLAKE BLVD SUITE 160 SOUTHLAKE,TX 76092; NATURE OF BUSINESS: BOARD; START DATE: 12/2020; POSITION/TITLE/RELATIONSHIP: CEO/BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS ; 3) NAME OF OTHER BUSINESS: FARPOINTE WEALTH ADVISORS ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4) NAME OF OTHER BUSINESS: FARPOINTE DBFS HOLDINGS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 7/2023; POSITION/TITLE/RELATIONSHIP: NONE; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NO DUTIES;
CRS (Client Relationship Summary) - RIA
Click below to view Richard Scott Rawlins'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®
Experience
Current
December 15, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 541 Silicon Dr Ste 101, Southlake, TX 76092RIA
CRD#: 105644
SOUTHLAKE, TX
Current
December 15, 2020 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 541 Silicon Dr Ste 101, Southlake, TX 76092BD
CRD#: 10358
SOUTHLAKE, TX
Past
February 9, 2008 - February 15, 2017
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
IRVING, TX
Past
August 14, 1997 - December 7, 2020
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Colleyville, TX
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
Arizona(6/30/2025)
RR
Florida(10/30/2025)
RR
Illinois(8/8/2025)
RR
Indiana(6/30/2025)
RR
Iowa(6/30/2025)
RR
Massachusetts(6/30/2025)
RR
Michigan(6/30/2025)
RR
New Jersey(6/30/2025)
RR
Ohio(10/30/2025)
RR
Oregon(6/26/2025)
RR
Texas(12/15/2020)
IAR
Texas(12/15/2020)
RR
Virginia(6/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
