Richard Womack
Professional summary
Richard Womack, CFP®, who also goes by Dick Womack, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newbury Park, California and CETERA WEALTH SERVICES, LLC located in Newbury Park, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Womack's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2014
Experience
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
June 14, 2012 - September 5, 2025
AVANTAX ADVISORY SERVICES
January 20, 2012 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2025)
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Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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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