RM
Richard Mcnaughton
CETERA INVESTMENT ADVISERS LLC
CENTENNIAL, CO 80112
Some features on this profile are disabled
CRD#: 6734672
RM
Professional summary
Richard Mcnaughton, who also goes by Rich Mcnaughton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Centennial, Colorado and CETERA WEALTH SERVICES, LLC located in Centennial, Colorado.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. 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
Rich Mcnaughton
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) TAXSAVERS 2 FINANCIAL SERVICES DBA NAME TS2 FINANCIAL POSITION: Tax Preparation/Accounting NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 100 START DATE: 12/01/2016 ADDRESS: 13275 e fremont place, #280, Centennial CO 80112, United States DESCRIPTION: Provide accounting and tax preparation services. 2) KFS INVESTMENT CLUB POSITION: INVESTOR NATURE: FAMILY INVESTMENT CLUB. INVESTS IN STOCKS. I HAVE NO TRADING OR SIGNATURE AUTHORITY ON THIS ACCOUNT. I DEPOSIT $100 A MONTH. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1994 ADDRESS: 13275 E Fremont Pl, Ste 280, Centennial CO 80112, United States DESCRIPTION: I HAVE ZERO ACTIVITIES RELATED TO THIS INVESTMENT CLUB MINUS MY MONTHLY CONTRIBUTION. I MAKE NO INVESTMENT DECISIONS OR SIGNATURE AUTHORITY. 3) DOLLY HELPER POSITION: INDEPENDENT CONTRACTOR NATURE: RANDOM MOVING AND LABOR AROUND DENVER INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 10/06/2022 ADDRESS: 21223 SNOWSHOE LANE, PARKER CO 80138, United States DESCRIPTION: DRIVING FURNITURE AND UNLOADING BOXES.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Mcnaughton'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 13275 E Fremont Pl Suite 280, Centennial, CO 80112RIA
CRD#: 105644
CENTENNIAL, CO
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 13275 E Fremont Pl Ste 280, Centennial, CO 80112BD
CRD#: 13572
Centennial, CO
Past
July 17, 2017 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Centennial, CO
Past
February 22, 2017 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Centennial, CO
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)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
IAR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Kansas(9/5/2025)
RR
Missouri(9/5/2025)
RR
Montana(9/5/2025)
RR
Nebraska(9/5/2025)
RR
Nevada(9/5/2025)
RR
New York(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
RR
Wyoming(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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
