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RB

Richard N. Burtt

CETERA INVESTMENT ADVISERS LLC
BATON ROUGE, LA 70809
Some features on this profile are disabled
CRD#: 4762489
RB

Professional summary

Richard Nereaux Burtt II, who also goes by Richie Nereaux Burtt, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baton Rouge, Louisiana and CETERA WEALTH SERVICES, LLC located in Baton Rouge, Louisiana.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richie Nereaux Burtt

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: RNB INVESTMENT PROPERTIES LLC INVESTMENT RELATED: NO ADDRESS: BATON ROUGE, LA 70820 NATURE OF BUSINESS: REAL ESTATE START DATE: 8/2012 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I COLLECT RENT, FIX PROPERTIES, MAINTENANCE OF PROPERTIES, PAY TAXES, ETC; 2. NAME OF OTHER BUSINESS: HAYS BREARD FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 9/2022 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: MAINTAINING AND DEEPENING RELATIONSHIPS WITH MY CLIENTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Nereaux Burtt II'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5035 Bluebonnet Blvd Ste A, Baton Rouge, LA 70809
RIA
CRD#: 105644
BATON ROUGE, LA
Current

September 13, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5035 Bluebonnet Blvd Ste A, Baton Rouge, LA 70809
BD
CRD#: 13572
Baton Rouge, LA
Past

September 13, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

March 2, 2017 - September 23, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
BATON ROUGE, LA
Past

March 2, 2017 - September 23, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
BATON ROUGE, LA
Past

October 1, 2012 - March 6, 2017

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
ZACHARY, LA
Past

October 1, 2012 - March 6, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
ZACHARY, LA
Past

December 6, 2007 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
BAKER, LA
Past

September 18, 2006 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
BAKER, LA
Past

September 1, 2005 - August 15, 2006

LPL FINANCIAL LLC

RIA
CRD#: 6413
BATON ROUGE, LA
Past

July 27, 2005 - August 15, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
BATON ROUGE, LA
Past

February 25, 2004 - July 29, 2005

CAPITAL ONE INVESTMENTS, LLC

BD
CRD#: 17526
NEW ORLEANS, LA

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
Florida
(9/13/2022)
RR
Georgia
(9/13/2022)
RR
Louisiana
(9/13/2022)
IAR
Louisiana
(6/29/2023)
RR
Mississippi
(9/13/2022)
RR
North Carolina
(9/13/2022)
RR
Pennsylvania
(9/13/2022)
RR
Texas
(9/13/2022)
IAR
Texas
(6/29/2023)
RR
Virginia
(7/14/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/4/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/16/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/24/2004
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Baton Rouge, LA 70809

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