RB
Rebecca H. Borton
CETERA INVESTMENT ADVISERS LLC
CHESTER, CT
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CRD#: 6386559
RB
Professional summary
Rebecca Haines Borton, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chester, Connecticut and CETERA WEALTH SERVICES, LLC located in Herndon, Virginia.
Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Rebecca has worked at 9 firms and has passed the Series 63, 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) TIMOTHY RICHARDSON LLC DBA GREENSPACE FINANCIAL (EA) POSITION: Client Service Administrator NATURE: Timothy Richardson is an Enrolled Agent and offers tax return preparation services to clients. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 11/01/2024 ADDRESS: 1211 Bond St, Herndon VA 20170, United States DESCRIPTION: I will provide administrative and client service support. This will include managing incoming and outgoing correspondence with clients, data gathering and storage, data entry, and billing.I will provide tax preparation administration under the supervision of an Enrolled Agent until such time as I become an EA and my responsibilities expand. 2) TIMOTHY RICHARDSON LLC DBA GREENSPACE FINANCIAL (WM) POSITION: Financial Planner NATURE: Greenspace offers investments and financial planning through Avantax. It has managed accounts and direct mutual funds. INVESTMENT RELATED: Yes NUMBER OF HOURS: 88 SECURITIES TRADING HOURS: 88 START DATE: 11/01/2024 ADDRESS: 1211 Bond St, Herndon VA 20170, United States DESCRIPTION: 1) Investment management of existing clients (servicing) 2) Prospecting new investment and financial planning 3) Financial planning (for a fee) through Avantax 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2025; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Rebecca Haines Borton'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
RIA
CRD#: 105644
CHESTER, CT
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Herndon, VA
Past
November 1, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Herndon, VA
Past
November 1, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Herndon, VA
Past
April 11, 2022 - November 6, 2024
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
HERNDON, VA
Past
September 14, 2021 - November 6, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
Leesburg, VA
Past
September 7, 2018 - June 1, 2021
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
McLean, VA
Past
June 1, 2018 - September 4, 2018
MORGAN STANLEY
RIA
CRD#: 149777
MCLEAN, VA
Past
May 21, 2018 - September 4, 2018
MORGAN STANLEY
BD
CRD#: 149777
MCLEAN, VA
Past
December 16, 2014 - May 9, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
RESTON, VA
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)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
IAR
Connecticut(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Virginia(9/5/2025)
IAR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
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
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.
