Individual Firm
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RICHARD DAVID BLYTHE
CRD#: 1000009
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 5215 N SABINO CANYON RD
STE 136
TUCSON, AZ 85750
STE 136
TUCSON, AZ 85750
CETERA ADVISOR NETWORKS LLCCRD#: 13572 5215 N SABINO CANYON RD
STE 136
TUCSON, AZ 85750
STE 136
TUCSON, AZ 85750
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1/26/2016
Customer Dispute
Settled
3/12/2009
Customer Dispute
Denied
5/20/2002
Customer Dispute
Settled
2/8/2002
Customer Dispute
Settled
State Registrations
B
Arizona 9/20/2019
B
Minnesota 1/12/2023
IA
Arizona 1/14/2025
B
Nevada 2/23/2021
B
Arkansas 9/20/2019
B
Texas 11/18/2020
B
California 9/20/2019
IA
Texas 1/8/2025
B
Maryland 9/20/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/8/2025
B
Registered with this firm since 9/20/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/31/2014 - 09/20/2019 | TUCSON, AZ | |
B | 07/15/2008 - 02/06/2014 | TUCSON, AZ | |
B | 10/31/2005 - 07/16/2008 | TUCSON, AZ | |
B | 05/16/2003 - 10/31/2005 | PHOENIX, AZ | |
B | 10/02/1995 - 06/06/2003 | NEW YORK, NY | |
B | 01/15/1988 - 10/09/1995 | PURCHASE, NY | |
B | 07/30/1981 - 05/10/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.