Richard R. Mccloskey

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CRD#: 325602

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 Robert Mccloskey, CFP® was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Comprehensive Financial Planni...

Estate Planning

Are you a "fiduciary"?

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.

PMC MACARTHUR LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1996 ADDRESS: 4001 MacArthur Blvd, Newport Beach CA 92660, United States DESCRIPTION: This is a 3 story office building. TFG rents approximately 70% of the building. MAC, MAC & SCHWA LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 111 W Sepulveda Blvd # 336, Manhattan Beach CA 90266, United States DESCRIPTION: I have no management responsibilities 2437 CORINTH LIMITED POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1996 ADDRESS: 111 W Sepulveda Blvd # 336, Manhattan Beach CA 90266, United States DESCRIPTION: This is an apartment complex of 17 units in the west Los Angeles area near UCLA

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Past

August 10, 2023 - November 22, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NEWPORT BEACH, CA

Past

August 10, 2023 - November 22, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NEWPORT BEACH, CA

Past

August 28, 2002 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

NEWPORT BEACH, CA

Past

March 10, 2000 - March 31, 2006

WORTHMARK FINANCIAL SERVICES, LLC

CRD#: 47086

NEWPORT BEACH, CA

Past

May 25, 1988 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

NEWPORT BEACH, CA

Past

October 26, 1984 - May 23, 1988

CONSOLIDATED RESOURCES, INC.

CRD#: 13747

Past

September 21, 1982 - October 29, 1984

IRG SECURITIES, INC.

CRD#: 4182

Past

June 8, 1979 - March 25, 1983

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 9, 1970 - October 16, 1977

NORTH STAR EQUITIES COMPANY

CRD#: 4241

Past

September 9, 1970 - September 27, 1985

THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY

CRD#: 2797

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 11/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 6/24/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/28/1999

General Securities Principal Examination

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Richard R. Mccloskey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

WORTHMARK FINANCIAL SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

CONSOLIDATED RESOURCES, INC.

IRG SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

NORTH STAR EQUITIES COMPANY

THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/2/1998

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 6/24/1968

Series 24

Date: 12/28/1999

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

Contact information

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