Gregory W. Rickens

PREMIER WEALTH ADVISORS

New York, NY 10018

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CRD#: 5024019

Professional summary

Gregory Walter Rickens is a registered financial advisor currently at PREMIER WEALTH ADVISORS, LLC located in New York, New York.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Gregory has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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.) PREMIER FINANCIAL ADVISORS, INC.; AGENT; REGISTERED INVESTMENT ADVISOR; START DATE:9/1/2010 2.) PREMIER WEALTH ADVISORS, LLC; IAR; REGISTERED INVESTMENT ADVISOR; START DATE: 01/15/2020; 160 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Walter Rickens'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

August 30, 2021 - Present

PREMIER WEALTH ADVISORS, LLC

Office #1: 1411 Broadway 16th Floor, New York, NY 10018

RIA

CRD#: 120358

New York, NY

Past

September 8, 2022 - November 25, 2024

CETERA ADVISORS LLC

CRD#: 10299

NEW YORK, NY

Past

March 22, 2021 - October 20, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NEW YORK, NY

Past

August 7, 2009 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

NEW YORK, NY

Past

January 1, 2006 - August 31, 2009

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

TEANECK, NJ

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".

PREMIER WEALTH ADVISORS, LLC

PREMIER FINANCIAL ADVISORS, INC. | PREMIER WEALTH ADVISORS, LLC

CRD#: 120358 / SEC#: 801-78204

RIA

Registered Investment Advisory firm - (6/27/2013 Approved)

New York

Registered Investment Advisory firm - (6/28/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New York
(8/30/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/2006

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: 11/22/2005

General Securities Representative Examination

Current Firm

PREMIER WEALTH ADVISORS, LLC

PREMIER FINANCIAL ADVISORS, INC. | PREMIER WEALTH ADVISORS, LLC

CRD#: 120358 / SEC#: 801-78204

RIA

Registered Investment Advisory firm - (6/27/2013 Approved)

New York

Registered Investment Advisory firm - (6/28/2013 Terminated)

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Contact information

Main Address

1411 Broadway 16th Floor, New York, NY 10018

Mailing Address

Phone number

(212) 752-4343

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (6/25/2025)

Regulatory assets under management

Total Number of Accounts	754
AUM (Assets Under Management)	$ 523,135,264

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/31/2024	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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Gregory W. Rickens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Walter Rickens's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED SECURITIES, INC.

DAVID LERNER ASSOCIATES, INC.

Primary Firm SEC Registration

PREMIER WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/2019

Series 63

Date: 1/12/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/22/2005

Current Firm

PREMIER WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PREMIER WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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