Richard C. Kasprak

CETERA INVESTMENT ADVISERS LLC

MT. PLEASANT, SC 29464

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CRD#: 837176

Professional summary

Richard Craig Kasprak, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mt. Pleasant, South Carolina and CETERA WEALTH SERVICES, LLC located in Mt. Pleasant, South Carolina.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 24 and Series 4 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)RICHARD C. KASPRAK CHFC, CASL, CLU POSITION: Insurance Sales Agent NATURE: Insurance Agent INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/01/1982 ADDRESS: 217 Lucas Street Bldg A, Mount Pleasant SC 29464, United States DESCRIPTION: Selling individual major medical or Medicare supplement insurance policies

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Craig Kasprak'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 217 Lucas St. Bldg. A, Mt. Pleasant, SC 29464

RIA

CRD#: 105644

MT. PLEASANT, SC

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MT. PLEASANT, SC

Past

March 9, 2010 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

MT. PLEASANT, SC

Past

April 1, 2002 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

MT. PLEASANT, SC

Past

July 20, 1982 - April 1, 2002

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

MINNEAPOLIS, MN

Past

March 1, 1982 - June 8, 1982

EDWARD JONES

CRD#: 250

Past

May 2, 1977 - October 30, 1981

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

May 2, 1977 - October 30, 1981

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

May 2, 1977 - October 30, 1981

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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

Arizona
(9/5/2025)

California
(9/5/2025)

Colorado
(9/5/2025)

Connecticut
(9/5/2025)

District of Columbia
(9/5/2025)

Florida
(9/5/2025)

Georgia
(9/5/2025)

Louisiana
(9/5/2025)

Maine
(9/5/2025)

Maryland
(9/5/2025)

Michigan
(9/5/2025)

New Jersey
(9/5/2025)

New York
(9/5/2025)

North Carolina
(9/5/2025)

Ohio
(9/19/2025)

Pennsylvania
(9/5/2025)

South Carolina
(9/5/2025)

IAR

South Carolina
(9/5/2025)

Tennessee
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Virginia
(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 65

Date: 10/25/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1982

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: 10/17/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/25/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/1991

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/18/1988

Registered Options Principal 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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Richard C. Kasprak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Craig Kasprak's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

MARQUETTE FINANCIAL GROUP, INC.

EDWARD JONES

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/1993

Series 63

Date: 8/24/1982

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1981

Series 1

Date: 4/25/1977

Series 24

Date: 1/25/1991

Series 4

Date: 3/18/1988

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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