Richard S. Solomon
CETERA INVESTMENT ADVISERS LLC
MESA, AZ 85209
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CRD#: 6382743
Professional summary
Richard Scott Solomon, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mesa, Arizona and CETERA WEALTH SERVICES, LLC located in Mesa, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Richard has worked at 4 firms and has passed the Series 66, SIE and Series 7 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) Solomon CPAs & Financial Services 254 E Southern Ave, #101 Mesa AZ 85209 Tax Preparation/Accounting~Partner/General Partner 5/1/2014 160hrs~120hrs Providing tax preparation, bookkeeping and payroll services to clients 2) Rick S Solomon CPA PLLC 7254 E Southern Ave Mesa AZ 85209 Other Owner 7/10/2014 160hrs~0hrs Consulting Services. Pass through entity only. 3) SOLOMON WEALTH MANAGEMENT, LLC POSITION: Owner NATURE: This is a pass-through entity only and the single source of income is Solomon CPAs & Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/10/2014 ADDRESS: 7254 E Southern Ave, Mesa AZ 85209, DESCRIPTION: This is a pass through entity only. No services or products are sold by this entity. It is simply used to pass through income from Solomon CPAs & Financial Services. All financial services and products are sold through Solomon CPAs & Financial Services.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Scott Solomon'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®
CFP®
Start date: 2018
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7254 E Southern Ave Ste 103, Mesa, AZ 85209RIA
CRD#: 105644
MESA, AZ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7254 E Southern Ave Ste 103, Mesa, AZ 85209BD
CRD#: 13572
Mesa, AZ
Past
September 30, 2015 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MESA, AZ
Past
October 3, 2014 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Mesa, AZ
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(9/5/2025)
IAR
Arizona(9/5/2025)
RR
Colorado(9/5/2025)
RR
Georgia(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law 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#: 105644Mesa, AZ 85209TRUST BUT VERIFY
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