RO
Richard W. Ogg
CETERA INVESTMENT ADVISERS LLC
SANTA ROSA, CA 95404
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CRD#: 5550318
RO
Professional summary
Richard Wayne Ogg is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Santa Rosa, California and CETERA WEALTH SERVICES, LLC located in Santa Rosa, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Richard has worked at 4 firms and has passed the Series 65, Series 63, 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.
1) NATIONAL ASSOCIATION OF ENROLLED AGENTS POSITION: Other NATURE: Professional Services - Business/Individual INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2006 ADDRESS: 1120 Connecticut Avenue NW, Ste 460, Washington DC 20036, United States DESCRIPTION: Pay dues, meet continuing education requirements, assist in planning continuing education offerings. 2) North Bay Chapter of the CA Society of Enrolled Ag~'NIR'~3200 Ramos Circle~Sacramento~CA~95827~Other~Other~5/1/2009~6hrs~3hrs~Provide leadership to local chapter, pay dues to the state organization. 3) Santa Rosa Bible Church~'NIR'~4575 Badger Rd~Santa Rosa~CA~95409~Other~Other~3/1/1991~10hrs~0hrs~Teacher, Counselor, General Business/Board Member. 4) Santa Rosa Junior College Community Education~'NIR'~1501 Mendocine Ave~Santa Rosa~CA~95401~Education~Teacher/Professor/Trainer~4/13/2016~1hrs~0hrs~Teach class on designated topic (currently Social Security, 3 hour class 3 times a year on Saturdays). 5) THE MASTER'S TAX & FINANCIAL SERVICES POSITION: Partner/General Partner NATURE: Tax Return Preparation, Representation before government tax agencies INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 60 START DATE: 06/01/2005 ADDRESS: 716 College Ave, Ste A2, Santa Rosa CA 95404, United States DESCRIPTION: Income tax return preparation. Represent clients before government tax agencies. 6) Total Administrative Services Corporation~'NIR'~2302 International Ln~Madison~WI~53704~Other~Employee~8/6/2018~1hrs~1hrs~Explain process to my business tax clients. 7) Santa Rosa Bible Church~'NIR'~4575 Badger Rd~Santa Rosa~CA~95409~Other~Other~9/18/2018~7hrs~0hrs~Take and distribute minutes of the Elders' (i.e., Board of Directors) meetings. Occasionally sign a legal document attesting that the document correctly represents action the board took.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Wayne Ogg'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 718 College Ave. Suite E, Santa Rosa, CA 95404RIA
CRD#: 105644
SANTA ROSA, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 716 College Ave Suite A2, Santa Rosa, CA 95404BD
CRD#: 13572
SANTA ROSA, CA
Past
July 14, 2009 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
SANTA ROSA, CA
Past
July 18, 2008 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SANTA ROSA, CA
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
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Idaho(9/5/2025)
RR
Michigan(9/18/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
RR
South Carolina(9/18/2025)
RR
Tennessee(9/18/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/18/2025)
RR
Wyoming(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Santa Rosa, CA 95404TRUST BUT VERIFY
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