Individual Firm
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ROBERT NORMAND RICHARD JR
CRD#: 2476178
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 276 WEST MAIN ST, STE 13B
NORTHBOROUGH, MA 01532
NORTHBOROUGH, MA 01532
CETERA ADVISORS LLCCRD#: 10299 276 WEST MAIN ST, STE 13B
NORTHBOROUGH, MA 01532
NORTHBOROUGH, MA 01532
0
Disclosures
30
Years of Experience
View By:
State Registrations
B
Alabama 4/24/2017
B
New Hampshire 1/1/2004
B
Arizona 6/12/2008
B
New Jersey 1/1/2004
B
California 1/8/2007
B
New York 1/1/2004
B
Colorado 1/4/2012
B
North Carolina 1/5/2010
B
Connecticut 1/1/2004
B
Oregon 8/12/2024
B
Florida 1/1/2004
B
Pennsylvania 4/22/2015
B
Idaho 1/1/2004
B
Rhode Island 1/1/2004
B
Maine 1/1/2004
B
South Carolina 6/13/2023
B
Maryland 1/8/2007
B
Texas 12/7/2012
B
Massachusetts 1/1/2004
IA
Texas 3/21/2024
IA
Massachusetts 2/14/2017
B
Vermont 1/23/2009
B
Missouri 1/3/2019
B
Virginia 1/1/2004
B
Nevada 1/1/2004
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/21/2024
IA
Registered with this firm since 2/14/2017
B
Registered with this firm since 1/1/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2004 - 03/21/2024 | NEWTON, MA | |
IA | 03/31/2002 - 01/01/2004 | SHREWSBURY, MA | |
B | 04/06/2000 - 01/01/2004 | HUDSON, OH | |
B | 10/19/1998 - 04/05/2000 | CHESTERFIELD, MO | |
B | 10/14/1997 - 10/19/1998 | APPLETON, WI | |
B | 12/12/1994 - 10/14/1997 | CONCORD, NH | |
B | 07/12/1994 - 12/06/1994 | ORANGE, CA |
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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.