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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard John Jeffreys is a financial advisor with Cetera Investment Advisers LLC, a firm that has offices in both Kingston and Saugerties, New York. Richard has been in the industry since 1994 and has experience with both broker-dealer and investment advisory services. Richard holds a number of industry certifications, including the Series 6, 7, 24, 63, and 65 licenses, as well as the SIE. Richard has been registered with Cetera Investment Advisers since 2014.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
03/31/2021 - Present
Cetera Investment Advisers LLC (KINGSTON NY)
OR
11/28/1997 - 08/16/1999
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
NJ
04/13/1993 - 10/25/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 02/25/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2002
Series 7 - General Securities Representative Examination
BC
Issued 04/01/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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