RR
Richard R. Rossomando
CETERA INVESTMENT ADVISERS LLC
SANDWICH, MA 02563
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CRD#: 2964885
RR
Professional summary
Richard Robert Rossomando, who also goes by Richard R Rossomondo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sandwich, Massachusetts and CETERA ADVISORS LLC located in Sandwich, Massachusetts.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard R Rossomondo
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) NAME OF OTHER BUSINESS: ROSSOMANDO WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: MASSACHUSETTS MARITIME ACADEMY, INVESTMENT RELATED: NO, ADDRESS: 101 ACADEMY ROAD, BUZZARDS BAY, MA, 02532 NATURE OF BUSINESS: SCHOLASTIC, START DATE: 08/2021, POSITION/TITLE/RELATIONSHIP: COACH, APX NUMBER OF HOURS PER WEEK: 10, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: COACHING SOCCER;
CRS (Client Relationship Summary) - RIA
Click below to view Richard Robert Rossomando'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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 28 Route 6a, Sandwich, MA 02563RIA
CRD#: 105644
SANDWICH, MA
Current
December 10, 2021 - Present
CETERA ADVISORS LLC
Office #1: 28 Route 6a, Sandwich, MA 02563BD
CRD#: 10299
Sandwich, MA
Past
December 15, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
ROCKLAND, MA
Past
April 25, 2017 - January 12, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCKLAND, MA
Past
April 7, 2017 - January 12, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCKLAND, MA
Past
June 1, 2009 - April 10, 2017
MORGAN STANLEY
BD
CRD#: 149777
HYANNIS, MA
Past
March 7, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
HYANNIS, MA
Past
December 6, 2002 - March 20, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HYANNIS, MA
Past
January 12, 1998 - December 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
California(12/13/2021)
RR
Connecticut(12/14/2021)
RR
Florida(12/22/2021)
RR
Illinois(1/10/2022)
RR
Maine(12/10/2021)
RR
Maryland(12/10/2021)
RR
Massachusetts(12/13/2021)
IAR
Massachusetts(3/21/2024)
RR
New Hampshire(12/10/2021)
RR
New Jersey(1/3/2022)
RR
New York(1/6/2022)
RR
Ohio(12/13/2021)
RR
Pennsylvania(12/13/2021)
RR
Rhode Island(12/20/2021)
RR
South Carolina(6/23/2025)
RR
Vermont(12/14/2021)
RR
Virginia(12/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Sandwich, MA 02563TRUST BUT VERIFY
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