Richard Allen Ceffalio

Employer firm

Newedge Advisors CRD 171351

$43.2B regulatory AUM 122 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

• 11/2012 → 11/2016
  Wells Fargo Advisors
  Lake Forest, IL
• 11/2016 → 11/2019
  Wells Fargo Clearing Services, Llc
  Lake Forest, IL
• 11/2019 → 07/2024
  Lpl Financial Llc
  Arlington Heights, IL
• 11/2019 → Present
  Newedge Advisors, Llc (Gwm Advisors, Llc)
  Arlington Heights, IL

Previous Registrations

• 2012-11-02 → 2019-12-06
  Wells Fargo Clearing Services, Llc
  Arlington Heights, IL
  Lake Forest, IL
• 2008-10-03 → 2012-11-12
  Ubs Financial Services Inc.
  Northbrook, IL
  Oakbrook Terrace, IL
  Oakbrook Terrace, IL
• 2008-01-01 → 2008-10-09
  Wells Fargo Clearing Services, Llc
  Arlington Heights, IL
• 2000-12-26 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Arlington Heights, IL
  St. Louis, MO

Other Businesses

1. Mr. Ceffalio is a licensed insurance agent/broker. He may offer insurance products and receive customary fees as a result of insurance sales. A conflict of interest may arise as these insurance sales may create an incentive to recommend products based on the compensation earned. To mitigate this potential conflict, Mr. Ceffalio, as a fiduciary, will act in the client's best interest. 2. Mr. Ceffalio manages rental real estate properties in Norridge, IL. Mr. Ceffalio devotes 5 hours per month to this activity outside of trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2000-12-19
• S63 Uniform Securities Agent State Law Examination
  1995-07-07

Other Names

• Jr Richard Allen Ceffalio
• Rich Ceffalio