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RICHARD JOHN JEFFREYS
DICK JEFFREYS
CRD#: 2338313
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 180 SCHWENK DRIVE
KINGSTON, NY 12401
CETERA INVESTMENT SERVICES LLCCRD#: 15340 180 SCHWENK DRIVE
KINGSTON, NY 12401
Registration History
1995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - Present (11 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)1999 - Present (25 years)BMARKETING ONE SECURITIES, INC. (CRD# 16611)1997 - 1999 (1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1993 - 1996 (3 years)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2009 - 2014 (4 years)
License(s)

State Registrations

B
Arizona 1/7/2021

B
North Carolina 11/10/2008

B
California 6/1/2011

B
Oklahoma 2/27/2017

IA
California 1/21/2014

B
Pennsylvania 8/23/2004

B
Florida 9/13/2004

B
Tennessee 1/7/2011

B
Georgia 11/10/2005

B
Vermont 5/31/2006

B
New Mexico 9/24/2015

B
Virginia 8/27/2020

B
New York 8/19/1999

B
Washington 11/3/2014

IA
New York 3/31/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
180 SCHWENK DRIVE, KINGSTON, NY 12401
SAUGERTIES, NY
Registered with this firm since 1/21/2014

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
180 SCHWENK DRIVE, KINGSTON, NY 12401
SAUGERTIES, NY
Registered with this firm since 8/19/1999

Previous Registration(s)
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IA
02/23/2009 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) KINGSTON, NY
B
11/28/1997 - 08/16/1999 MARKETING ONE SECURITIES, INC. (CRD#:16611) PORTLAND, OR
B
04/13/1993 - 10/25/1996 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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B
Broker
IA
Investment Adviser
Disclosures
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.