Richard Connell Ness

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2011 → 09/2019
  Summit Brokerage Services Inc
  Duluth, GA
• 08/2011 → 05/2021
  Summit Financial Group Inc
  Duluth, GA
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 03/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-09-01 → 2021-05-20
  Summit Financial Group Inc
  Duluth, GA
• 2007-01-03 → 2011-09-30
  First Allied Advisory Services, Inc.
  Chesterfield, MO
  Duluth, GA
• 2002-08-21 → 2007-01-03
  Ffp Advisory Services Inc
  Duluth, GA

Other Businesses

1. INSURANCE - AGENT

Exams

• S63 Uniform Securities Agent State Law Examination
  1988-09-28