Richard C. Foster
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Charles Foster, who also goes by Chuck Foster, Richard C Foster, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 2002. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - April 2, 2014
CETERA INVESTMENT ADVISERS LLC
October 1, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
October 1, 2012 - April 2, 2014
CETERA INVESTMENT SERVICES LLC
February 16, 2011 - September 28, 2012
MONEY CONCEPTS CAPITAL CORP
February 8, 2011 - September 28, 2012
MONEY CONCEPTS CAPITAL CORP
June 14, 2010 - December 31, 2010
OBSIDEO CAPITAL MANAGEMENT, LLC
September 29, 2006 - June 1, 2010
ARVEST WEALTH MANAGEMENT
September 27, 2006 - June 1, 2010
ARVEST WEALTH MANAGEMENT
April 11, 2006 - September 1, 2006
LPL FINANCIAL LLC
April 7, 2006 - September 1, 2006
LPL FINANCIAL LLC
October 6, 2005 - April 13, 2006
ONEAMERICA SECURITIES, INC.
July 26, 2002 - October 10, 2005
PRINCIPAL SECURITIES, INC.
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
Exams
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 | ||
| 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.
