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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-08-10
  • NJ RA
    APPROVED
    Since 2023-08-10

Branch Locations

1800 Route 34 Bldg 2 Ste 201, Wall, NJ 07719 • 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
OrganizationCityStateFromTo
General Claims Investigation Corp Staten Island NY 06/1995 05/2018
Wells Fargo Advisors Financial Network, Llc Oakhurst NJ 06/2014 05/2018
Securian Financial Services Inc St. Paul ME 11/2018 08/2023
Minnesota Life Insurance Company St. Paul MN 11/2018 08/2023
Mid-Atlantic Resource Group Wall NJ 11/2018 Present
Adecco New York NY 05/2018 11/2018
Cetera Wealth Services, Llc Wall NJ 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Margfinancial Wall NJ 01/2021 Present
  • 06/1995 → 05/2018
    General Claims Investigation Corp
    Staten Island, NY
  • 06/2014 → 05/2018
    Oakhurst, NJ
  • 11/2018 → 08/2023
    Securian Financial Services Inc
    St. Paul, ME
  • 11/2018 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 11/2018 → Present
    Mid-Atlantic Resource Group
    Wall, NJ
  • 05/2018 → 11/2018
    Adecco
    New York, NY
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Wall, NJ
  • 08/2023 → Present
    Schaumburg, IL
  • 01/2021 → Present
    Margfinancial
    Wall, NJ
Previous Registrations
Other Businesses

1) MARG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2018 ADDRESS: , New York NY , United States DESCRIPTION: Agent/Broker 2) NAME OF OTHER BUSINESS: MARGFINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE:01/01/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 60, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-18
  • S66 Uniform Combined State Law Examination
    2014-12-18
Other Names
  • Richard Fiorentino
  • Richard Fiorentino

View on SEC IAPD

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