Stephen Richman
Stephen Richman is a registered investment advisor at Cetera Investment Advisers LLC, based in Eatontown, NJ, with 45 years of industry experience. Stephen 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
Firm Size
IM Fee
Assets Under Management
Location
99 Corbett Way Ste 103, Eatontown, NJ, 07724
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Regulatory History (1)
Customer Dispute
March 2010Other Business ActivitiesSells Insurance
Stephen is the President & CEO of Rockdale Financial Services, Inc., dedicating a few hours per week to asset allocation modeling. He also works as an insurance agent selling life, health, disability, annuities, and long-term care products, also dedicating a few hours per week. Additionally, Stephen is involved in sales for Pre-Paid Legal Service for minimal time per week, and is the President/Owner of Richman Wealth Managers, Inc. and co-owner of TS Asset Management LLC, both entities for internal record keeping only.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Rockdale Financial Services, INC.
Cetera Advisors LLCBroker
Previous Registrations
Cetera Advisors LLC
Cetera Advisors LLC
Rockdale Associates, INC.
Vestax Securities Corporation
Bpr Wealth Management, LLC
Vestax Securities CorporationBroker
American Capital CorporationBroker
American Eagle Securities, INC.Broker
Cardell & Associates, IncorporatedBroker
Bnl Securities INC.Broker
Independent Financial Planners CorporationBroker
State Registrations20 states
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.