Richard M. Ellington

CETERA INVESTMENT ADVISERS LLC

WOBURN, MA 01801

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CRD#: 4093389

Professional summary

Richard Martin Ellington, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Woburn, Massachusetts and CETERA INVESTMENT SERVICES LLC located in Woburn, Massachusetts.

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 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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. SHORT TERM RENTALS, VRBO - AIRBNB, 100% OWNER, 5/HRS/WK; 2. PATRON EDGE LLC, MYSTERY SHOPPING SERVICES, 100% OWNER, 5/HRS/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Martin Ellington's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

March 31, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 400 Tradecenter Suite 4920, Woburn, MA 01801

RIA

CRD#: 105644

WOBURN, MA

Current

March 31, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 400 Tradecenter Suite 4920, Woburn, MA 01801

CRD#: 15340

Woburn, MA

Past

May 5, 2014 - April 1, 2025

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

IPSWICH, MA

Past

April 29, 2014 - April 1, 2025

OSAIC INSTITUTIONS, INC.

CRD#: 35371

IPSWICH, MA

Past

February 18, 2011 - April 25, 2014

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

WOBURN, MA

Past

February 10, 2011 - April 25, 2014

NATIONAL PLANNING CORPORATION

CRD#: 29604

WOBURN, MA

Past

February 13, 2006 - August 24, 2010

NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.

RIA

CRD#: 133096

NORTH ANDOVER, MA

Past

April 28, 2005 - August 20, 2010

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NORTH ANDOVER, MA

Past

April 11, 2005 - August 20, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

NORTH ANDOVER, MA

Past

November 5, 2003 - April 14, 2005

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

DANVERS, MA

Past

November 5, 2003 - April 14, 2005

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

February 27, 2001 - November 11, 2003

WADDELL & REED

RIA

CRD#: 866

WOBURN, MA

Past

January 4, 2000 - November 11, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Connecticut
(3/31/2025)

IAR

Connecticut
(3/31/2025)

Florida
(9/15/2025)

Massachusetts
(3/31/2025)

IAR

Massachusetts
(4/10/2025)

New Hampshire
(3/31/2025)

IAR

New Hampshire
(3/31/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/19/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/3/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/25/2006

General Securities Principal Examination

SRO Registrations

FINRA

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

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.

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Advisor Monitoring

Firm Stability Insights

Richard M. Ellington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Martin Ellington's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2000

Series 63

Date: 12/21/1999

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2000

Series 6

Date: 1/3/2000

Series 24

Date: 4/25/2006

FINRA

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

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