RR
Ronald A. Riescher
CETERA WEALTH SERVICES
Boca Raton, FL 33432
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CRD#: 376489
RR
Professional summary
Ronald Adam Riescher is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Boca Raton, Florida.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1970. Ronald has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Ronald Adam Riescher'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
August 22, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 225 Ne Mizner Blvd, Suite 550, Boca Raton, FL 33432BD
CRD#: 13572
Boca Raton, FL
Past
February 3, 2003 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
January 2, 2001 - February 18, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
January 3, 1994 - January 2, 2001
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
December 1, 1993 - January 3, 1994
JW GENESIS CLEARING CORP.
BD
CRD#: 6631
BOCA RATON, FL
Past
April 8, 1992 - November 24, 1993
ANCHOR MANAGEMENT GROUP, INC.
BD
CRD#: 25022
MELBOURNE, FL
Past
June 26, 1991 - April 4, 1992
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
April 13, 1988 - June 3, 1991
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
February 5, 1971 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
BD
CRD#: 279
Past
July 24, 1970 - March 2, 1971
F I DUPONT GLORE FORGAN & CO
BD
CRD#: 1000002
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(9/20/2019)
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Arizona(9/20/2019)
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Arkansas(1/5/2021)
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California(9/20/2019)
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Colorado(9/20/2019)
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Connecticut(9/20/2019)
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Delaware(9/20/2019)
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Florida(9/9/2019)
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Georgia(9/20/2019)
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Illinois(9/20/2019)
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Indiana(4/8/2022)
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Kentucky(8/7/2020)
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Maryland(9/20/2019)
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Massachusetts(9/20/2019)
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Mississippi(6/21/2023)
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Missouri(9/20/2019)
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Montana(9/20/2019)
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Nevada(9/20/2019)
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New Hampshire(9/20/2019)
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New Jersey(9/20/2019)
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New York(9/20/2019)
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North Carolina(9/20/2019)
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Ohio(9/20/2019)
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Oklahoma(9/20/2019)
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Pennsylvania(9/20/2019)
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South Carolina(9/20/2019)
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Texas(9/20/2019)
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Vermont(9/20/2019)
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Virginia(9/20/2019)
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Washington(1/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/31/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 4/20/1964
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
Red Flags
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Company Information
CETERA WEALTH SERVICES, LLC
CRD#: 13572Boca Raton, FL 33432TRUST BUT VERIFY
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