Richard L. Jeffery
Professional summary
Richard Lee Jeffery, CFP®, who also goes by Rich Jeffery, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kamuela, Hawaii and CETERA WEALTH SERVICES, LLC located in Kamuela, Hawaii.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Richard has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Jeffery's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1986
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
January 23, 2008 - Present
CETERA WEALTH SERVICES, LLC
February 7, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
February 13, 2006 - January 22, 2008
ASSOCIATED SECURITIES CORP.
January 31, 1997 - February 10, 2006
OSAIC WEALTH, INC.
March 27, 1989 - September 7, 1990
JOHN HANCOCK DISTRIBUTORS LLC
February 1, 1989 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
August 26, 1982 - September 7, 1990
JOHN HANCOCK DISTRIBUTORS LLC
October 1, 1975 - April 13, 1987
HOME LIFE INSURANCE COMPANY
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2021)
(9/9/2015)
(1/23/2008)
(11/27/2018)
(1/23/2008)
(1/23/2008)
(6/29/2023)
(1/23/2008)
(1/23/2008)
(7/20/2016)
(9/24/2014)
(1/23/2008)
(1/23/2008)
(3/26/2019)
(10/25/2017)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 1
Date: 9/30/1975
Registered Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
Red Flags
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