RM
Richard J. Macak
CETERA INVESTMENT ADVISERS LLC
ORLANDO, FL 32804
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CRD#: 5976713
RM
Professional summary
Richard Joseph Macak III, who also goes by Richard Macak, Richard Joseph Macak, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Orlando, Florida and CETERA WEALTH SERVICES, LLC located in Orlando, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Macak | Richard Joseph Macak
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.
AETNA INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2017 ADDRESS: , Ft Myers FL , United States DESCRIPTION: Agent/Broker OMNI PAYROLL SOLUTIONS LLC POSITION: Agent/Broker NATURE: Referral Agreement INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2017 ADDRESS: , Ft Myers FL , United States DESCRIPTION: Agent/Broker OMNI FINANCIAL SERVICES OF LEE COUNTY, INC. POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 35 START DATE: 02/01/2017 ADDRESS: 12610 New Brittany Blvd, Fort Myers FL 33907, United States DESCRIPTION: OMNI Financial Services of Lee County Inc., is our DBA for our business relationship with Securian. OMNI RESOURCE GROUP OF SW FLORIDA, LLC POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2017 ADDRESS: 12610 New Brittany Blvd, Fort Myers FL 33907, United States DESCRIPTION: I may at times refer business owners to OMNI Resource Group for business management consulting services. I may at times sell fixed insurance products that are not required to be sold through Securian. THE CONTINUING EDUCATION ACADEMY, LLC POSITION: Participant NATURE: Trainer/Teacher INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2017 ADDRESS: 12610 New Brittany Blvd, Fort Myers FL 33907, United States DESCRIPTION: I will be participating in continuing education seminars to help prospect for ML/SFS clients/business.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Macak III'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 18, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1615 Edgewater Drive Suite 150, Orlando, FL 32804RIA
CRD#: 105644
ORLANDO, FL
Current
July 14, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1615 Edgewater Drive Suite 150, Orlando, FL 32804BD
CRD#: 13572
Orlando, FL
Past
August 19, 2019 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ORLANDO, FL
Past
February 9, 2017 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ORLANDO, FL
Past
October 11, 2011 - January 26, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ORLANDO, FL
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(8/10/2023)
RR
Colorado(3/11/2024)
RR
Florida(7/14/2023)
IAR
Florida(7/18/2023)
RR
Georgia(8/10/2023)
RR
Illinois(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Maryland(7/12/2024)
RR
Massachusetts(8/10/2023)
RR
New York(8/10/2023)
RR
South Carolina(12/18/2024)
RR
West Virginia(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2019
General Securities Representative ExaminationGeneral 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
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.
