Richard E. Deam
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Eugene Deam, CFP® was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
November 12, 2020 - April 25, 2022
CETERA INVESTMENT ADVISERS LLC
July 10, 2012 - July 13, 2012
FIRST ALLIED SECURITIES, INC.
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
October 18, 2004 - December 10, 2004
DEAMOAK'S PLANNING SERVICES, LTD
March 17, 2004 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
March 8, 2004 - April 25, 2022
FIRST ALLIED SECURITIES, INC.
August 1, 2003 - March 10, 2004
WALNUT STREET SECURITIES, INC.
May 22, 1990 - January 27, 2003
NATHAN & LEWIS SECURITIES, INC.
March 1, 1982 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
February 10, 1982 - August 22, 1983
PRUCO SECURITIES, LLC.
April 16, 1980 - August 13, 1984
EQUITY SERVICES, INC.
January 15, 1980 - March 14, 1980
INDEPENDENT SECURITIES CORPORATION
March 30, 1979 - February 7, 1983
INDEPENDENT FINANCIAL PLANNERS CORPORATION
July 18, 1978 - August 22, 1983
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 13, 1977 - April 6, 1978
FORESTERS FINANCIAL SERVICES, INC.
February 12, 1971 - March 7, 1977
HARVEST MANAGEMENT CORPORATION
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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/10/1971
Registered Representative ExaminationCurrent 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
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.
