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Richard John Jeffreys

Cetera Investment Advisers LLC

Kingston, NY

Saugerties, NY

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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
NY RA APPROVED 2021-03-31
  • NY RA
    APPROVED
    Since 2021-03-31

Branch Locations

180 Schwenk Drive, Kingston, NY 12401 • United States

Saugerties, NY • 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
Marketing One Securities, Inc. Kingston NY 11/1997 Present
Cetera Investment Advisers Llc Kingston NY 01/2014 Present
Cetera Investment Services Llc St Cloud MN 01/2014 Present
Ulster Savings Bank Kingston NY 01/2014 Present
  • 11/1997 → Present
    Marketing One Securities, Inc.
    Kingston, NY
  • 01/2014 → Present
    Cetera Investment Advisers Llc
    Kingston, NY
  • 01/2014 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 01/2014 → Present
    Ulster Savings Bank
    Kingston, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-02-25
S63 Uniform Securities Agent State Law Examination 1993-12-04
  • S65 Uniform Investment Adviser Law Examination
    2013-02-25
  • S63 Uniform Securities Agent State Law Examination
    1993-12-04
Designations
Other Names
  • Dick Jeffreys

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · KINGSTON, NY
MORGAN STANLEY · Kingston, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · KINGSTON, NY
MML INVESTORS SERVICES, LLC · KINGSTON, NY
PROSPECT STREET HOLDINGS, LLC · KINGSTON, NY
AMERIPRISE FINANCIAL SERVICES, LLC · Kingston, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · KINGSTON, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Kingston, NY

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