CFP

Richard Jeffreys

31 Years of Experience

Kingston, NY

Broker

Richard Jeffreys is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Kingston, NY, with 31 years of industry experience. Richard 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.

Cetera Investment Advisers LLC

Compensation

Fee-Only (% of Portfolio)Fixed/Hourly

Firm Size

10345 advisors

IM Fee

Planning only

Assets Under Management

$163.8B

Location

180 Schwenk Drive, Kingston, NY, 12401

Get directions

History

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.

Employment History

Current Registrations

Cetera Investment Advisers LLC

January 2014 - Present · 12 yrs 3 mos

Cetera Investment Services LLC

August 1999 - Present · 26 yrs 8 mos

Cetera Investment Services LLCBroker

August 1999 - Present · 26 yrs 8 mos

Previous Registrations

Cetera Investment Services LLC

February 2009 - January 2014 · 4 yrs 11 mos

Marketing One Securities, INC.Broker

November 1997 - August 1999 · 1 yr 9 mos

Pruco Securities CorporationBroker

April 1993 - October 1996 · 3 yrs 6 mos

State Registrations14 states

AZCAFLGANCNJNMNYOKPATNVAVTWA

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.

More financial advisors in Kingston, NY →All financial advisors in New York →