RB
Ronald G. Berry
CETERA INVESTMENT ADVISERS LLC
EASTON, CT
Some features on this profile are disabled
CRD#: 4059676
RB
Professional summary
Ronald George Berry is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Easton, Connecticut and CETERA ADVISORS LLC located in Easton, Connecticut.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ronald has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 8/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE, GROUP BENEFITS; (2) NAME OF OTHER BUSINESS: INTEGRITY CAPITAL MANAGEMENT GROUP, LLC, INVESTMENT RELATED: YES, ADDRESS: 165 MILE COMMON ROAD EASTON CT 06612, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 4/2014, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF TRADING HOURS PER WEEK: 10, POSITION/TITLE/RELATIONSHIP: PRINCIPAL, FINANCIAL CONSULTANT & ADVISOR, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (3) NAME OF OTHER BUSINESS: TOWN OF EASTON CT- INSURANCE COMMISSION, INVESTMENT RELATED: NO, ADDRESS: 650 MOREHOUSE ROAD, EASTON, CT, 06612, NATURE OF BUSINESS: CIVIC, START DATE: 06/2023, POSITION/TITLE/RELATIONSHIP: MEMBER, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: REVIEW INSURANCE PROVIDER PROPOSALS, RISK MITIGATION, OBJECTIVE IS TO KEEP TOWN INSURANCE POLICIES FAIR AND REASONABLE;
CRS (Client Relationship Summary) - RIA
Click below to view Ronald George Berry'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
EASTON, CT
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Easton, CT
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
April 2, 2014 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
EASTON, CT
Past
April 2, 2014 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
EASTON, CT
Past
April 23, 2002 - April 14, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SHELTON, CT
Past
April 23, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NORWALK, CT
Past
April 23, 2002 - April 14, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SHELTON, CT
Past
March 20, 2000 - April 4, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
NORWALK, CT
Past
January 24, 2000 - April 4, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 24, 2000 - April 4, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(10/3/2016)
RR
California(10/3/2016)
RR
Connecticut(10/3/2016)
IAR
Connecticut(3/21/2024)
RR
Florida(10/3/2016)
RR
Georgia(10/3/2016)
RR
Kentucky(10/3/2016)
RR
Louisiana(10/3/2016)
RR
Maine(1/2/2025)
RR
Massachusetts(10/3/2016)
RR
Michigan(10/3/2016)
RR
Missouri(4/19/2021)
RR
New Jersey(10/3/2016)
RR
New York(10/3/2016)
RR
Ohio(10/3/2016)
RR
Pennsylvania(10/3/2016)
RR
Rhode Island(10/3/2016)
RR
South Carolina(10/3/2016)
RR
Texas(1/4/2021)
IAR
Texas(3/21/2024)
RR
Virginia(7/13/2023)
RR
Washington(10/3/2016)
RR
West Virginia(10/3/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
