WF
William R. Forte
CETERA INVESTMENT ADVISERS LLC
WOBURN, MA 01801
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CRD#: 5389843
WF
Professional summary
William Richard Forte, who also goes by Rich Forte, Richard Forte, William Richard Forte Jr, William Forte, William Richard Forte, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Woburn, Massachusetts and CETERA INVESTMENT SERVICES LLC located in Woburn, Massachusetts.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. William has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Forte | Richard Forte | William Richard Forte Jr | William Forte | William Richard Forte
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) ORVILLE W. FORTE FOUNDATION, CHARITABLE FOUNDATION, BOARD MEMBER, EVALUATE GRANT APPLICATIONS, CONDUCT SITE VISITS, MAKE RECOMENDATIONS FOR FUNDING AND VOTE ON FUNDING, DOES NOT MAKE INVESTMENT DECISIONS, PARTICIPATE IN THE EXECUTION OF TRANSACTIONS, OR RECOMMEND SPECIFIC INVESTMENT PORTFOLIOS, 10HRS/YR 2) FORTE INVESTMENT FUND INC, PERSONAL HOLDING COMPANY CONTAINING ASSETS FOR FAMILY, BOARD MEMBER, ASSISTANT TREASURER, ASSISTANT SECRETARY, MEET ANNUALLY AS PART OF EXECUTIVE COMMITTEE WITH BIRCH HILL INVESTMENT ADVISORS TO DISCUSS ALLOCATIONS, HOLDINGS AND INCOME, DOES NOT MAKE INVESTMENT DECISIONS, PARTICIPATE IN THE EXECUTION OF TRANSACTIONS, OR RECOMMEND SPECIFIC INVESTMENT PORTFOLIOS, 10HRS/YR 3) POA AND TRUSTEE FOR MOTHER, MARY JANE FORTE 4) CCMI (CASHMERE AND CAMEL HAIR MANUFACTURERS INSTITUTE), USA REPRESENTATIVE FOR CLERICAL ACTIVITIES, FILING REGISTRATIONS, PAYING BILLS AND WORKINMG WITH PRESIDENT TO DEVELOP BUDGET, ADDITIONAL ACTIVITY IS IDENTIFYING FRAUD, MISLABELING, AND DECEPTIVE ADVERTISING OF CASHMERE PRODUCTS IN THE USA, DOES NOT PLACE OR HANDLE SECURITIES TRANSACTIONS, DOES NOT RECOMMEND SPECIFIC SECURITIES TRANSACTIONS NOR MAKE INVESTMENT DECISIONS, 15/HRS/WK;
CRS (Client Relationship Summary) - RIA
Click below to view William Richard Forte's 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®
NoneExperience
Current
July 13, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 400 Tradecenter Suite 4920, Woburn, MA 01801RIA
CRD#: 105644
WOBURN, MA
Current
July 8, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 Tradecenter Suite 4920, Woburn, MA 01801BD
CRD#: 15340
Woburn, MA
Past
February 6, 2009 - July 7, 2021
WADDELL & REED
RIA
CRD#: 866
DOVER, MA
Past
February 6, 2009 - July 7, 2021
WADDELL & REED
BD
CRD#: 866
DOVER, MA
Past
September 7, 2007 - December 18, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
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
Arizona(4/17/2023)
RR
California(4/17/2023)
RR
Colorado(4/17/2023)
RR
Connecticut(4/17/2023)
RR
District of Columbia(4/17/2023)
RR
Florida(7/8/2021)
RR
Georgia(4/17/2023)
RR
Hawaii(4/17/2023)
RR
Illinois(4/17/2023)
RR
Maine(4/17/2023)
RR
Maryland(4/17/2023)
RR
Massachusetts(7/8/2021)
IAR
Massachusetts(7/13/2021)
RR
Michigan(4/17/2023)
RR
Nevada(4/17/2023)
RR
New Hampshire(7/8/2021)
RR
New Jersey(4/17/2023)
RR
New York(4/17/2023)
RR
North Carolina(4/17/2023)
RR
Ohio(4/17/2023)
RR
Oklahoma(4/17/2023)
RR
Oregon(4/17/2023)
RR
Pennsylvania(4/17/2023)
RR
Rhode Island(4/17/2023)
RR
South Carolina(4/17/2023)
RR
Texas(4/17/2023)
IAR
Texas(4/17/2023)
RR
Utah(4/17/2023)
RR
Vermont(4/17/2023)
RR
Virginia(4/17/2023)
RR
Washington(4/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Woburn, MA 01801TRUST BUT VERIFY
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