Richard Ellington is a CFP-designated registered investment advisor, based in Woburn, MA, with 25 years of industry experience.
Location
400 Tradecenter, Suite 4920, Woburn, MA, 01801
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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.
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Richard owns short-term rental properties and Patron Edge LLC, a mystery shopping service. He dedicates a few hours per week to each activity.
Employment History
Current Registrations
Cetera Investment Services LLCBroker
March 2025 - Present · 1 yr 4 mos
Cetera Investment Advisers LLC
March 2025 - Present · 1 yr 4 mos
Previous Registrations
Osaic Institutions, INC.
May 2014 - April 2025 · 10 yrs 11 mos
Osaic Institutions, INC.Broker
April 2014 - April 2025 · 11 yrs
National Planning Corporation ("npc of America" in Fl & Ny)
February 2011 - April 2014 · 3 yrs 2 mos
National Planning CorporationBroker
February 2011 - April 2014 · 3 yrs 2 mos
New England Investment & Retirement Group, INC.
February 2006 - August 2010 · 4 yrs 6 mos
Commonwealth Financial Network
April 2005 - August 2010 · 5 yrs 4 mos
Commonwealth Financial NetworkBroker
April 2005 - August 2010 · 5 yrs 4 mos
Investors Capital CORP.Broker
November 2003 - April 2005 · 1 yr 5 mos
Eastern Point Advisors INC.
November 2003 - April 2005 · 1 yr 5 mos
Waddell & Reed, INC.
February 2001 - November 2003 · 2 yrs 9 mos
Waddell & Reed, INC.Broker
January 2000 - November 2003 · 3 yrs 10 mos
State Registrations5 states
CTFLMANHTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.