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Richard Casolari

Cetera Investment Advisers LLC
52 Years of Experience
Palos Heights, IL
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Richard Casolari is a registered investment advisor at Cetera Investment Advisers LLC, based in Palos Heights, IL, with 52 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.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

12416 S Harlem Ste 300, Palos Heights, IL, 60463

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History

Regulatory History (4)
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
July 2020
Denied
Customer Dispute
December 2005
Settled
Customer Dispute
July 2003
Settled
Customer Dispute
June 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is the Director, President, and Owner of Advanced Financial Concepts, LTD, where he sells and services fixed insurance and securities products. He is also an independent insurance agent selling fixed insurance products, and collects renewals from old policies sold through Executive Motivation, Inc; these activities take up nearly all of Richard's time. Richard also owns a corporation for accounting purposes only, and is the President of a homeowner's association, both requiring minimal time.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
June 2021 - Present · 5 yrs 4 mos
Cetera Wealth Services, LLC
June 2021 - Present · 5 yrs 4 mos
Previous Registrations
Cetera Advisor Networks LLC
June 2021 - June 2023 · 2 yrs
Voya Financial Advisors, INC.
May 2016 - June 2021 · 5 yrs 1 mo
Voya Financial Advisors, INC.Broker
May 2016 - June 2021 · 5 yrs 1 mo
Metlife Securities INC.
March 2007 - May 2016 · 9 yrs 2 mos
Metlife Securities INC.Broker
July 2003 - May 2016 · 12 yrs 10 mos
Metropolitan Life Insurance CompanyBroker
July 2003 - July 2007 · 4 yrs
Re-Direct Securities CORP
December 2001 - July 2003 · 1 yr 7 mos
Re-Direct Securities CORPBroker
July 2001 - July 2003 · 2 yrs
Velarde Securities, INC.Broker
February 1981 - April 1981 · 2 mos
Mony Securities CorporationBroker
April 1974 - June 2001 · 27 yrs 2 mos
The Mutual Life Insurance Company of New YorkBroker
April 1974 - October 1990 · 16 yrs 6 mos
State Registrations23 states
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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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