Richard A. Logalbo
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 A Logalbo, who also goes by Richard A Lobalbo, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 11 firms and has passed the Series 66, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2021 - March 1, 2023
CETERA INVESTMENT ADVISERS LLC
October 16, 2020 - March 1, 2023
CETERA INVESTMENT SERVICES LLC
August 4, 2020 - October 13, 2020
MML INVESTORS SERVICES, LLC
April 18, 2019 - August 13, 2020
EQUITABLE ADVISORS, LLC
October 1, 2012 - April 23, 2019
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 23, 2019
J.P. MORGAN SECURITIES LLC
December 15, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 15, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 1, 2010 - June 11, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
February 29, 2008 - June 30, 2009
RBC CAPITAL MARKETS, LLC
January 13, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
January 17, 2003 - April 29, 2003
UBS FINANCIAL SERVICES INC.
May 2, 2001 - September 27, 2002
CITIGROUP GLOBAL MARKETS 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 55
Date: 5/23/2002
Limited Representative-Equity Trader ExamCurrent 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.
