CR
Colin A. Richards
CETERA INVESTMENT ADVISERS LLC
GLENWOOD, MN 56334
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CRD#: 7581899
CR
Professional summary
Colin Arnold Richards, who also goes by Colin Richards, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Glenwood, Minnesota and CETERA WEALTH SERVICES, LLC located in Plymouth, Minnesota.
Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Colin has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Colin Richards
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)PERSONAL INVESTMENT, CEO ENTERPRISES POSITION: Investor NATURE: I am investing in my parent's S-Corp that owns and manages income properties. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/25/2024 ADDRESS: 23950 North Lakeshore Drive, Glenwood MN 56334, United States DESCRIPTION: My role as an investor is to initially provide capital.As a partial owner I will also provide personal input on future business decisions and strategies. I will likely also be involved in some maintenance/development projects that are inherent with owning a rental property/unit. 2)MRK FINANCIAL SOLUTIONS POSITION: Financial Advisor NATURE: Wealth Management firmcommitted to delivering customized, comprehensive financial plans based on clients' unique goals for the future.? INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 02/12/2024 ADDRESS: 3020 Harbor Ln. No., Plymouth MN 55447, United States DESCRIPTION: Prospect for new clients and service existing clients, Provide financial advice on behalf of MRK which is directly affiliated with Avantax, communicate with clients on their current situations, meet with clients, and update accounts 3)Wagsness, Ogdahl & Associates; Accounting Helper; Wagsness, Ogdahl, & Associates is an accounting and tax prep firm in Glenwood Minnesota. They offer accounting and tax services.; NIR; 10; 02/12/2024; 16 1st Ave SE Glenwood MN 56334; Help file tax returns, assist in client organization, communicate with clients, help accounting staff with paperwork, and file paperwork. 4)Personal Investment, CEO Enterprises; Investor; I am investing in my parent's S-Corp that owns and manages income properties.; IR; 0; 03/25/2024; 23950 North Lakeshore Drive Glenwood MN 56334; My role as an investor is to initially provide capital.As a partial owner I will also provide personal input on future business decisions and strategies. I will likely also be involved in some maintenance/development projects that are inherent with owning a rental property/unit. 5) TRUPLAN FINANCIAL PLANNERS POSITION: Advisor NATURE: Wealth Management firm committed to delivering comprehensive financial plans to clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 06/23/2025 ADDRESS: 2 Carlson Parkway North, Suite 175, Plymouth MN 55447, United States DESCRIPTION: Prospect for new clients and service existing clients on behalf of Truplan which is affiliated with Avantax.
CRS (Client Relationship Summary) - RIA
Click below to view Colin Arnold Richards'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: 16 1st Ave Se, Glenwood, MN 56334Office #2: 3300 Fernbrook Ln N, Plymouth, MN 55447RIA
CRD#: 105644
GLENWOOD, MN
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3300 Fernbrook Ln N Suite 210, Plymouth, MN 55447BD
CRD#: 13572
PLYMOUTH, MN
Past
February 15, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Glenwood, MN
Past
February 8, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Plymouth, MN
Past
October 20, 2022 - February 13, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
FARGO, ND
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
Colorado(9/5/2025)
RR
Minnesota(9/5/2025)
IAR
Minnesota(9/5/2025)
RR
New Jersey(9/5/2025)
RR
North Dakota(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/12/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 10/20/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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#: 105644Glenwood, MN 56334TRUST BUT VERIFY
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