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Detailed Report
RICHARD ALLEN CEFFALIO JR
JR RICHARD ALLEN CEFFALIO, RICH CEFFALIO
CRD#: 2619565
IA
Investment Adviser
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Previous Broker
NEWEDGE ADVISORSCRD#: 171351 131 Wing Street
Arlington Heights, IL 60005
Registration History
19952000200520102015202020252 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2012 (4 years)2 FIRMS2012 - 2019 (7 years)IANEWEDGE ADVISORS (CRD# 171351)2019 - Present (5 years)BLPL FINANCIAL LLC (CRD# 6413)2019 - 2024 (4 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2008 (10 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1995 - 1997 (1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2000 - 2008 (7 years)
Disclosure(s)
View By:
9/23/2024
Customer Dispute
Pending
5/31/2024
Customer Dispute
Pending
5/31/2024
Employment Separation After Allegations
5/28/2024
Customer Dispute
Pending
7/21/2023
Customer Dispute
Pending
1/31/2000
Customer Dispute
Closed-No Action
License(s)

State Registrations

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Illinois 11/19/2019
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Texas 11/19/2019
Current Registration(s)
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NEWEDGE ADVISORS (CRD#:171351)
131 Wing Street, Arlington Heights, IL 60005
Registered with this firm since 11/19/2019
Previous Registration(s)
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 11/15/2019 - 07/01/2024 LPL FINANCIAL LLC (CRD#:6413) ARLINGTON HEIGHTS, IL
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 11/02/2012 - 12/06/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ARLINGTON HEIGHTS, IL
B
 11/02/2012 - 12/06/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ARLINGTON HEIGHTS, IL
IA
 10/03/2008 - 11/12/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) NORTHBROOK, IL
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 10/03/2008 - 11/12/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) NORTHBROOK, IL
IA
 01/01/2008 - 10/09/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ARLINGTON HEIGHTS, IL
B
 01/01/2008 - 10/09/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ARLINGTON HEIGHTS, IL
B
 03/18/1997 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ARLINGTON HEIGHTS, IL
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 12/26/2000 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ARLINGTON HEIGHTS, IL
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 06/13/1995 - 03/19/1997 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.