William F. Richardson

CETERA INVESTMENT ADVISERS LLC

HOUSTON, TX 77024

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CRD#: 721293

Professional summary

William Franklin Richardson JR, who also goes by Frank Richardson Jr, William Franklin Richardson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA WEALTH SERVICES, LLC located in Houston, Texas.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. William has worked at 23 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Richardson Jr | William Franklin Richardson

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.

Houston Retirement Guy Inc.~'IR'~9432 Katy Fwy #103~Houston~TX~77055~Other~Other~2/25/2014~150hrs~120hrs~I help clients invest their assets according to their investment objectives and needs. all investment services are offered through my affiliation with Avantax. Rental Property~'NIR'~3248 Beulah St.~Houston~TX~77004~Rental Property~Owner~6/1/2015~1hrs~1hrs~I am responsible for all repairs and I collect the rent. Post Oak Capital Group LLC~'IR'~9432 Katy Fwy #103~Houston~TX~77055~Other~Other~5/22/2015~150hrs~120hrs~I help clients invest their assets according to their investment objectives and needs. All investments are offered through our affiliation with Avantax. First Income Advisors~'IR'~9432 Katy Fwy #103~Houston~TX~77055~Insurance Agent~Independent Contractor~4/1/2017~80hrs~80hrs~Marketing Consulting, Sales, Followup

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Franklin Richardson JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 6767 Portwest Drive Ste 120, Houston, TX 77024

RIA

CRD#: 105644

HOUSTON, TX

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 9432 Katy Fwy #103, Houston, TX 77055

CRD#: 13572

Houston, TX

Past

October 8, 2020 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Houston, TX

Past

October 8, 2020 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Houston, TX

Past

July 17, 2020 - October 12, 2020

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HOUSTON, TX

Past

July 17, 2020 - October 12, 2020

SECURITIES AMERICA, INC.

CRD#: 10205

HOUSTON, TX

Past

January 5, 2012 - July 17, 2020

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

HOUSTON, TX

Past

January 5, 2012 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

HOUSTON, TX

Past

April 20, 2011 - December 31, 2011

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

HOUSTON, TX

Past

April 13, 2011 - December 31, 2011

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

HOUSTON, TX

Past

October 30, 2006 - April 18, 2011

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

HOUSTON, TX

Past

August 1, 2006 - April 18, 2011

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

January 4, 2006 - March 6, 2006

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

May 11, 2005 - January 12, 2006

IMS SECURITIES, INC.

CRD#: 35567

HOUSTON, TX

Past

July 10, 1998 - August 10, 2004

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

May 27, 1997 - January 30, 1998

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

February 28, 1996 - October 9, 1996

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

January 3, 1995 - July 26, 1995

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

January 1, 1993 - February 18, 1993

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

July 26, 1990 - June 12, 1991

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

November 5, 1987 - May 11, 1988

WESTCAP SECURITIES, L.P.

CRD#: 7301

HOUSTON, TX

Past

October 29, 1986 - November 24, 1987

CAPITOL SECURITIES GROUP, INC.

CRD#: 8094

Past

September 7, 1984 - November 26, 1984

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

Past

December 7, 1983 - September 4, 1984

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

December 22, 1980 - November 29, 1983

MORGAN STANLEY DW INC.

CRD#: 7556

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arkansas
(9/5/2025)

California
(9/5/2025)

Oklahoma
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Washington
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/6/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/29/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/1980

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

William F. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Franklin Richardson JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

IMS SECURITIES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

ADP BROKER-DEALER, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

WESTCAP SECURITIES, L.P.

CAPITOL SECURITIES GROUP, INC.

ROBERT W. BAIRD & CO. INCORPORATED

CIBC WORLD MARKETS CORP.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2006

Series 63

Date: 1/29/1981

SIE

Date: 10/1/2018

Series 7

Date: 12/22/1980

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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