RC
RC
Richard Canter
31 Years of Experience
Largo, FL
2 DisclosuresBroker
Richard Canter is a registered investment advisor at Cetera Investment Advisers LLC, based in Largo, FL, with 31 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
2100 West Bay Drive, Largo, FL, 33770
Get directionsHistory
Regulatory History (2)
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
November 2019Settled
Customer Dispute
October 2019Settled
Other Business Activities
Richard has been a CPA since 1987, providing accounting and tax services. This work takes nearly all of Richard's time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
December 2016 - Present · 9 yrs 10 mos
Cetera Financial Specialists LLCBroker
June 2004 - Present · 22 yrs 4 mos
Previous Registrations
Hochman & Baker Securities, INC.Broker
August 1995 - September 2004 · 9 yrs 1 mo
State Registrations24 states
ALAZCACOCTFLGAILINLAMAMDMEMINCNJNYOHSCSDTNTXVAVT
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.
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