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Richard Leist
42 Years of Experience
Grandville, MI
3 DisclosuresBroker
Richard Leist is a registered investment advisor at Cetera Investment Advisers LLC, based in Grandville, MI, with 42 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
4120 Chicago Dr Sw, Ste 4, Grandville, MI, 49418
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2013Closed-No Action
Regulatory
January 2006Final
Regulatory
June 2003Final
Other Business Activities
Richard is a financial professional at Summit Financial Networks, operating as a DBA for financial services since 2021. This takes Richard full-time, with most of the hours during trading hours.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 6 yrs 8 mos
Previous Registrations
Cetera Advisor Networks LLC
May 2021 - June 2023 · 2 yrs 1 mo
Summit Financial Group INC
September 2012 - May 2021 · 8 yrs 8 mos
Summit Brokerage Services, INC.Broker
September 2012 - September 2019 · 7 yrs
Oppenheimer & CO. INC.
June 2008 - September 2012 · 4 yrs 3 mos
Oppenheimer & CO. INC.Broker
November 2005 - September 2012 · 6 yrs 10 mos
Robert W. Baird & CO. IncorporatedBroker
January 2002 - December 2005 · 3 yrs 11 mos
Northwestern Mutual Investment Services, LLCBroker
January 2002 - January 2002 · 0 mos
Robert W. Baird & CO. IncorporatedBroker
November 2001 - January 2002 · 2 mos
Mcdonald Investments INC.Broker
May 1990 - December 2001 · 11 yrs 7 mos
Prudential-Bache Securities INC.Broker
August 1989 - May 1990 · 9 mos
Thomson Mckinnon Securities INC.Broker
August 1987 - August 1989 · 2 yrs
E. F. Hutton & Company INCBroker
December 1983 - September 1987 · 3 yrs 9 mos
State Registrations9 states
FLGAIDINMDMIMSPAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.