Richard C. Risley
CETERA INVESTMENT ADVISERS LLC
EAST HARTFORD, CT 06108
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CRD#: 854168
Professional summary
Richard Cooley Risley JR, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in East Hartford, Connecticut and CETERA INVESTMENT SERVICES LLC located in East Hartford, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Richard has worked at 4 firms and has passed the Series 66, Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 1, Series 51, Series 24 and Series 26 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Social Security Planning
Retirement Planning
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. PARTER OF RISLEY MARINO GROUP; DBA FOR CETERA BUSINESS 2. POWER OF ATTORNEY FOR CHARLES MARCEL; UNCLE 3. TRUSTEE FOR THE ADELLE W SCULLY IRREVOCABLE TRUST FBO ARIANNA WAITT; SISTER 4. ATLAS POINT, CLIENT BEHAVIOR SOFTWARE, SUBSCRIPTION SERVICE ANNUAL COST WAIVED-PART OF PILOT PROGRAM; ATLAS POINT LCC, FOCUS GROUP MEMBER PROVIDING FEEDBACK ON EXISTING & NEW IDEAS; 5. CO-OWNER OF RIVERVIEW FINANCIAL PARTNERS; DBA FOR CETERA BUSINESS
CRS (Client Relationship Summary) - RIA
Click below to view Richard Cooley Risley JR'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®
CFP®
Start date: 2021
Experience
Current
June 19, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 111 Founders Plaza Suite 300, East Hartford, CT 06108RIA
CRD#: 105644
EAST HARTFORD, CT
Current
June 20, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 111 Founders Plaza Suite 300, East Hartford, CT 06108BD
CRD#: 15340
East Hartford, CT
Past
September 5, 2012 - June 20, 2019
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
EAST HARTFORD, CT
Past
July 3, 1978 - June 20, 2019
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
E. HARTFORD, CT
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
California(6/21/2019)
RR
Colorado(4/18/2023)
IAR
Connecticut(6/19/2019)
RR
Connecticut(6/21/2019)
RR
Florida(6/21/2019)
RR
Georgia(6/21/2019)
RR
Maine(6/21/2019)
RR
Massachusetts(6/21/2019)
RR
New Hampshire(1/6/2021)
RR
New York(6/21/2019)
RR
North Carolina(6/21/2019)
RR
Pennsylvania(6/6/2024)
RR
Rhode Island(6/21/2019)
RR
South Carolina(6/21/2019)
RR
Texas(8/12/2022)
IAR
Texas(10/26/2022)
RR
Vermont(6/21/2019)
RR
Virginia(2/20/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/26/1978
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/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
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
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.
