Richard Womack

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

• 11/2011 → 09/2025
  Avantax Investment Services, Inc.
  Newbury Park, CA
• 01/1992 → Present
  Conejo Tax Services
  Newbury Park, CA
• 06/2012 → 09/2025
  Avantax Advisory Services
  Newbury Park, CA
• 03/2022 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services
  Newbury Park, CA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Newbury Park, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2012-06-14 → 2025-09-05
  Avantax Advisory Services
  Newbury Park, CA

Other Businesses

1) Conejo Tax Services 792 Pamela Wood Street Newbury Park CA 91320~Tax Preparation/Accounting 1/1/1992~80hrs~20hrs~Medical billing-accounting, bookkeeping ,tax prep, payroll, medical billing 2) ERLINDA CARPIO POSITION: Caregiver NATURE: Provide home care for mother-in-law INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 06/17/2022 ADDRESS: 792 Pamela Wood Street, Newbury Park CA 91320, United States DESCRIPTION: Assist mother-in-law with basic needs, run errands, take to doctor appointments.

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-06-05
• S63 Uniform Securities Agent State Law Examination
  2012-02-16

Designations

• Certified Financial Planner

Other Names

• Dick Womack