SR
Stephen W. Richman
ROCKDALE FINANCIAL SERVICES
Eatontown, NJ 07724
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CRD#: 853284
SR
Professional summary
Stephen William Richman, who also goes by Stephen W Richman, is a registered financial advisor currently at ROCKDALE FINANCIAL SERVICES, INC. located in Eatontown, New Jersey and CETERA INVESTMENT ADVISERS LLC located in Naples, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Stephen has worked at 10 firms and has passed the Series 63, Series 6TO, SIE, Series 1 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen W Richman
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.ROCKDALE FINANCIAL SERVICES, INC. INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, REGISTERED INVESTMENT ADVISOR, STARTED AUGUST 2013, 10 HRS PER WEEK - DURING TRADING HOURS, ASSET ALLOCATION MODELING THROUGH THIRD-PARTY MONEY MANAGEMENT, PRESIDENT & CEO.
2.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START 1981, 5 HRS/WEEK, VARIES DURING TRADING HOURS, INSURANCE AGENT SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE
3.PRE PAID LEGAL SERVICE-START 09/14/09-901 99 CORBETT WAY SUITE 103 EATONTOWN NJ 07724-SALES-1 HR/WK.
4. RICHMAN WEALTH MANAGERS, INC., NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START 2013, PRESIDENT/OWNER, ENTITY NOT HELD OUT TO THE PUBLIC - FOR INTERNAL RECORD KEEPING ONLY.
5.TS ASSET MANAGEMENT LLC, NOT INVESTMENT RELATED, 623 LACY ROAD, FORKED RIVER, NJ 028731, START 2013, CO-OWNER, ENTITY NOT HELD OUT TO THE PUBLIC - FOR INTERNAL RECORD KEEPING ONLY.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen William Richman'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
January 25, 2010 - Present
ROCKDALE FINANCIAL SERVICES, INC.
Office #1: 99 Corbett Way Suite 103, Eatontown, NJ 07724Office #2: 623 Lacey Road, Forked River, NJ 08731RIA
CRD#: 128829
Eatontown, NJ
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 28874 Blaisdell Dr, Naples, FL 34119Office #2: 99 Corbett Way Ste 103, Eatontown, NJ 07724RIA
CRD#: 105644
Naples, FL
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #2: 99 Corbett Way Ste 103, Eatontown, NJ 07724BD
CRD#: 10299
Naples, FL
Past
April 19, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
LAWRENCEVILLE, NJ
Past
January 1, 2004 - November 1, 2017
CETERA ADVISORS LLC
RIA
CRD#: 10299
LAWRENCEVILLE, NJ
Past
November 3, 2003 - December 31, 2009
ROCKDALE FINANCIAL SERVICES, INC.
RIA
CRD#: 128829
OCEAN, NJ
Past
June 12, 2003 - January 1, 2004
VESTAX SECURITIES CORPORATION
RIA
CRD#: 10332
OCEAN, NJ
Past
November 12, 2002 - July 27, 2009
BPR WEALTH MANAGEMENT, LLC
RIA
CRD#: 120601
LAWRENCEVILLE, NJ
Past
May 26, 1998 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
July 21, 1988 - June 2, 1998
AMERICAN CAPITAL CORPORATION
BD
CRD#: 16124
VALLEY FORGE, PA
Past
January 23, 1986 - June 23, 1988
AMERICAN EAGLE SECURITIES, INC.
BD
CRD#: 12973
Past
July 5, 1985 - December 6, 1985
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Past
October 6, 1982 - July 8, 1983
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
Past
June 16, 1978 - December 8, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
BD
CRD#: 653
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(5/30/2023)
RR
California(1/1/2004)
RR
Colorado(1/1/2004)
RR
Connecticut(1/13/2016)
RR
Delaware(8/15/2025)
RR
Florida(1/1/2004)
IAR
Florida(11/30/2017)
RR
Georgia(12/3/2010)
RR
Maine(12/7/2012)
RR
Maryland(1/2/2025)
RR
Massachusetts(5/14/2007)
RR
Michigan(8/2/2024)
RR
Minnesota(1/12/2024)
RR
Missouri(6/23/2025)
RR
Nevada(2/28/2022)
RR
New Jersey(1/1/2004)
IAR
New Jersey(1/25/2010)
RR
New York(1/1/2004)
RR
North Carolina(6/16/2010)
RR
Ohio(1/5/2022)
RR
Oregon(11/23/2011)
RR
Pennsylvania(1/1/2004)
IAR
Pennsylvania(5/2/2019)
RR
South Carolina(1/1/2004)
RR
Tennessee(12/2/2024)
IAR
Texas(5/9/2017)
RR
Texas(6/26/2024)
IAR
Texas(6/26/2024)
RR
Virginia(1/1/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/7/1978
Registered Representative ExaminationPrincipal/Supervisory 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
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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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Eatontown, NJ 07724TRUST BUT VERIFY
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