Albert L. Rich

CETERA INVESTMENT ADVISERS LLC

LONG BRANCH, NJ 07740

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CRD#: 4393368

Professional summary

Albert L Rich is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Long Branch, New Jersey and CETERA INVESTMENT SERVICES LLC located in Long Branch, New Jersey.

Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Albert has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert L Rich'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®

None

Experience

Current

December 7, 2017 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 627 Second Ave, Long Branch, NJ 07740

RIA

CRD#: 105644

LONG BRANCH, NJ

Current

December 6, 2017 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 627 Second Ave, Long Branch, NJ 07740

CRD#: 15340

Long Branch, NJ

Past

October 13, 2015 - December 6, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

MATAWAN, NJ

Past

October 13, 2015 - December 6, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

MATAWAN, NJ

Past

April 6, 2011 - October 15, 2015

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

WOODBRIDGE, NJ

Past

April 6, 2011 - October 15, 2015

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

WOODBRIDGE, NJ

Past

May 27, 2008 - April 18, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

LINDEN, NJ

Past

May 27, 2008 - April 18, 2011

LPL FINANCIAL LLC

CRD#: 6413

LINDEN, NJ

Past

December 9, 2003 - May 27, 2008

IFMG SECURITIES, INC.

RIA

CRD#: 14416

ELIZABETH, NJ

Past

November 18, 2002 - May 27, 2008

IFMG SECURITIES, INC.

CRD#: 14416

ELIZABETH, NJ

Past

August 13, 2001 - November 14, 2002

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

Georgia
(4/17/2018)

Massachusetts
(11/21/2024)

New Jersey
(12/6/2017)

IAR

New Jersey
(12/7/2017)

New York
(12/6/2017)

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

Series 63

Date: 10/24/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/3/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/10/2001

Investment Company Products/Variable Contracts Representative 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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Firm Stability Insights

Albert L. Rich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert L Rich's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/2014

Series 65

Date: 12/3/2003

SIE

Date: 10/1/2018

Series 7

Date: 2/17/2006

Series 6

Date: 8/10/2001

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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