RN
RN
Richard Ness
37 Years of Experience
Buford, GA
BrokerSells Insurance
Richard Ness is a registered investment advisor at Cetera Investment Advisers LLC, based in Buford, GA, with 37 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
Loading...
Location
Buford, GA
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard is an insurance agent.
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 6 yrs 10 mos
Previous Registrations
Cetera Advisor Networks LLC
May 2021 - June 2023 · 2 yrs 1 mo
Summit Financial Group INC
September 2011 - May 2021 · 9 yrs 8 mos
Summit Brokerage Services, INC.Broker
September 2011 - September 2019 · 8 yrs
First Allied Securities, INC.Broker
May 2008 - September 2011 · 3 yrs 4 mos
First Allied Advisory Services, INC.
January 2007 - September 2011 · 4 yrs 8 mos
Ffp Advisory Services INC
August 2002 - January 2007 · 4 yrs 5 mos
Ffp Securities, INC.Broker
April 1989 - May 2008 · 19 yrs 1 mo
Jefferson-Pilot Investor Services, INC.Broker
October 1988 - January 1989 · 3 mos
State Registrations4 states
ALFLGANC
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.