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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 Jeffreys is a financial advisor who has been in the industry since 1994. Richard is a Registered Representative and an Investment Advisor Representative, licensed to provide investment advice in both California and New York. Richard has held various roles throughout his career, including working at Marketing One Securities, Inc. and Pruco Securities Corporation. Currently, Richard is affiliated with Cetera Investment Advisers LLC. Richard is a Certified Financial Planner and has extensive experience providing financial planning services. Richard has also passed the Series 6, 7, 24, 63 and 65 exams and has earned the SIE designation. Richard's current employment is with Cetera Investment Advisers LLC and Cetera Investment Services LLC. Richard is also employed by Ulster Savings Bank.
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.
1
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 2/25/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/4/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/1/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/1/2002
Series 7 - General Securities Representative Examination
BC
Issued 4/1/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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