RB
Richard A. Benson
CETERA INVESTMENT ADVISERS LLC
BROKEN ARROW, OK 74012
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CRD#: 3276277
RB
Professional summary
Richard Alan Benson, who also goes by Dick Benson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Broken Arrow, Oklahoma and CETERA ADVISORS LLC located in Broken Arrow, Oklahoma.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dick Benson
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. BENSON FINANCIAL SERVICES, INC. DIRECT OWNER. STARTED 1/1/1998. SPEND 10 HOURS PER MONTH DURING MARKET HOURS ON THIS BUSINESS; 2. VINEYARD FINANCIAL GROUP, INC. DBA/INSURANCE. ASSOCIATE. STARTED 1/1/1996. SPEND 40 HOURS PER MONTH DURING MARKET HOURS ON THIS BUSINESS; 3. VINEYARD FEDERAL BENEFIT ADVISORS; CERTIFIED FEDERAL BENEFIT ADVISOR; MARKETING/NETWORKING; START DATE 10/25/2013; 12 HOURS PER MONTH; 4. NAME OF OTHER BUSINESS: MC HERITAGE, LLC, INVESTMENT RELATED: NO, ADDRESS: 5335 V18 ROAD, DEEP RIVER CITY, IA, 52222, NATURE OF BUSINESS: FARMLAND, START DATE: 02/2024, POSITION/TITLE/RELATIONSHIP: PART OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RENTED FARMLAND;
CRS (Client Relationship Summary) - RIA
Click below to view Richard Alan Benson'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3101 North Hemlock Circle Suite 130, Broken Arrow, OK 74012RIA
CRD#: 105644
BROKEN ARROW, OK
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 3101 North Hemlock Circle Suite 130, Broken Arrow, OK 74012BD
CRD#: 10299
Broken Arrow, OK
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Broken Arrow, OK
Past
May 26, 2010 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
BROKEN ARROW, OK
Past
May 26, 2010 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
BROKEN ARROW, OK
Past
November 1, 2007 - December 18, 2009
VINEYARD ASSET MANAGEMENT, LLC
RIA
CRD#: 145246
TULSA, OK
Past
March 16, 2004 - May 26, 2010
OSAIC WEALTH, INC.
RIA
CRD#: 23131
BROKEN ARROW, OK
Past
August 8, 2000 - May 26, 2010
OSAIC WEALTH, INC.
BD
CRD#: 23131
BROKEN ARROW, OK
Past
May 23, 2000 - August 2, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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(9/8/2022)
RR
Arkansas(9/8/2022)
RR
California(5/6/2024)
RR
Indiana(9/8/2022)
RR
Iowa(9/8/2022)
RR
Kansas(9/8/2022)
RR
New York(9/29/2025)
IAR
Oklahoma(11/12/2020)
RR
Oklahoma(9/8/2022)
RR
Texas(8/15/2024)
IAR
Texas(8/15/2024)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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#: 105644Broken Arrow, OK 74012TRUST BUT VERIFY
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