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William Richard
28 Years of Experience
Narragansett, RI
1 DisclosureBrokerSells Insurance
William Richard is a registered investment advisor at Cetera Investment Advisers LLC, based in Narragansett, RI, with 28 years of industry experience. William 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
1004 Boston Neck Road, Ste 9, Narragansett, RI, 02882
Get directionsHistory
Regulatory History (1)
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Customer Dispute
August 2005Denied
Other Business ActivitiesSells Insurance
William works as an agent selling fixed insurance products, including life, health, annuities, and long-term care, since 2016. This takes a full-time commitment.
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 2 mos
Cetera Advisors LLCBroker
October 2016 - Present · 9 yrs 7 mos
Previous Registrations
Cetera Advisors LLC
October 2016 - March 2024 · 7 yrs 5 mos
Investors Capital Advisory
September 2007 - October 2016 · 9 yrs 1 mo
Investors Capital CORP.Broker
September 2007 - October 2016 · 9 yrs 1 mo
Waddell & Reed, INC.Broker
September 2004 - September 2007 · 3 yrs
Waddell & Reed, INC.
September 2004 - September 2007 · 3 yrs
Hornor, Townsend & Kent, INC.
July 2003 - March 2004 · 8 mos
Hornor, Townsend & Kent, INC.Broker
October 1998 - March 2004 · 5 yrs 5 mos
Nutmeg Securities, LTD.Broker
September 1998 - November 1998 · 2 mos
Corporate Securities Group, INC.Broker
October 1996 - September 1998 · 1 yr 11 mos
State Registrations9 states
CACTFLMAMIRISCVAVT
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.