Richard Lee Brown

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

• 09/1996 → 10/2019
  1St Global Capital Corp.
  Red Lion, PA
• 07/1993 → Present
  Brown'S Tax Service
  Red Lion, PA
• 04/2005 → 09/2025
  Avantax Insurance Services, Inc.
  Red Lion, PA
• 12/2006 → 10/2019
  1St Global Advisors, Inc.
  Red Lion, PA
• 10/2019 → 09/2025
  Avantax Advisory Services
  Red Lion, PA
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Red Lion, PA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-10-25 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  Red Lion, PA
• 2006-12-08 → 2019-10-25
  1St Global Advisors Inc
  Red Lion, PA

Other Businesses

1) DOCKENSPIELERS GERMAN BAND POSITION: BARITONE HORN PLAYER NATURE: MUSICAL BAND INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2006 ADDRESS: , York PA , United States DESCRIPTION: GERMAN BAND THAT PLAYS FOR CHURCH

Exams

• S66 Uniform Combined State Law Examination
  2006-11-24
• S63 Uniform Securities Agent State Law Examination
  1992-09-03

Other Names

• Dick Brown