Phillip C. Richards
Professional summary
Phillip Croce Richards, who also goes by Phil Richards, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Paradise Valley, Arizona and CETERA WEALTH SERVICES, LLC located in Minneapolis, Minnesota.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Phillip has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Croce Richards's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5709 E. Glen Drive, Paradise Valley, AZ 85253Office #2: 2701 University Avenue Se, Minneapolis, MN 55414-3238August 3, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2701 University Avenue Se, Minneapolis, MN 55414-3238December 23, 2013 - October 28, 2021
CRI SECURITIES, LLC
December 23, 2013 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
September 26, 2003 - September 10, 2008
MARATHON ADVISORS, INC
January 22, 1991 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
November 23, 1988 - August 23, 1990
CONSOLIDATED RESOURCES, INC.
August 24, 1988 - October 28, 2021
CRI SECURITIES, LLC
July 13, 1983 - September 21, 1988
CONSOLIDATED RESOURCES, INC.
October 16, 1980 - July 27, 1983
IRG SECURITIES, INC.
November 24, 1979 - July 8, 1986
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
June 16, 1975 - May 14, 1980
INTEGRATED RESOURCES EQUITY CORPORATION
November 24, 1969 - July 13, 1975
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
November 24, 1969 - July 13, 1975
NORTH STAR EQUITIES COMPANY
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
(8/10/2023)
(8/3/2023)
(8/10/2023)
(8/10/2023)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/31/1969
Registered Representative ExaminationFINRA
Current 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 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
