William Richard Forte

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:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-04-17
MA	RA	APPROVED	2021-07-13

TX RA
APPROVED

Since 2023-04-17
MA RA
APPROVED

Since 2021-07-13

Branch Locations

400 Tradecenter Suite 4920, Woburn, MA 01801 • United States

Dover, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Forte Investment Fund Inc	Newton	MA	09/1990	Present
Orville W Forte Charitable Foundation	Newton	MA	09/1990	Present
Waddell & Reed, Inc	Dover	MA	02/2009	07/2021
Various Insurance Carriers For W&R Insurance Agencies, Inc	Dover	MA	02/2009	07/2021
Rotary Club Of Needham	Needham	MA	07/2013	06/2021
Town Of Dover	Dover	MA	12/2018	07/2020
Cetera Investment Services Llc	St Cloud	MN	07/2021	Present
Cetera Investment Advisers Llc	Woburn	MA	07/2021	Present

09/1990 → Present

Forte Investment Fund Inc

Newton, MA
09/1990 → Present

Orville W Forte Charitable Foundation

Newton, MA
02/2009 → 07/2021

Waddell & Reed, Inc

Dover, MA
02/2009 → 07/2021

Various Insurance Carriers For W&R Insurance Agencies, Inc

Dover, MA
07/2013 → 06/2021

Rotary Club Of Needham

Needham, MA
12/2018 → 07/2020

Town Of Dover

Dover, MA
07/2021 → Present

Cetera Investment Services Llc

St Cloud, MN
07/2021 → Present

Cetera Investment Advisers Llc

Woburn, MA

Previous Registrations

2009-02-06 → 2021-07-07

Waddell & Reed

Waltham, MA

Dover, MA

Dover, MA

Waltham, MA

Bedford, NH

Portsmouth, NH

Hamden, CT

Dover, MA

Other Businesses

1. ORVILLE W. FORTE FOUNDATION, CHARITABLE FOUNDATION, BOARD MEMBER, EVALUATE GRANT APPLICATIONS, CONDUCT SITE VISITS, MAKE RECOMENDATIONS FOR FUNDING AND VOTE ON FUNDING, DOES NOT MAKE INVESTMENT DECISIONS, PARTICIPATE IN THE EXECUTION OF TRANSACTIONS, OR RECOMMEND SPECIFIC INVESTMENT PORTFOLIOS, 10HRS/YR 2. FORTE INVESTMENT FUND INC, PERSONAL HOLDING COMPANY CONTAINING ASSETS FOR FAMILY, BOARD MEMBER, ASSISTANT TREASURER, ASSISTANT SECRETARY, MEET ANNUALLY AS PART OF EXECUTIVE COMMITTEE WITH BIRCH HILL INVESTMENT ADVISORS TO DISCUSS ALLOCATIONS, HOLDINGS AND INCOME, DOES NOT MAKE INVESTMENT DECISIONS, PARTICIPATE IN THE EXECUTION OF TRANSACTIONS, OR RECOMMEND SPECIFIC INVESTMENT PORTFOLIOS, 10HRS/YR 3. POA AND TRUSTEE FOR MOTHER, MARY JANE FORTE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-09-20

S66 Uniform Combined State Law Examination

2007-09-20

Other Names

Richard Forte
Rich Forte
William Richard Forte
William Richard Forte
William Forte

View on SEC IAPD