Richard Lee Jeffery

Current Employers

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
HI	RA	APPROVED	2023-06-29

HI RA
APPROVED

Since 2023-06-29

Branch Locations

Kamuela, HI • 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

Organization	City	State	From	To
Cetera Wealth Services, Llc	El Segundo	CA	01/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

01/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1. INDEPENDENT INSURANCE AGENT WITH JOHN HANCOCK AND LINCOLN NATIONAL LIFE. FIXED INSURANCE PRODUCTS; LIFE AND ANNUITIES. 2. 2. NAME OF OTHER BUSINESS: RICHARD L. JEFFERY & CO. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT ADVISORY SERVICES / SALES START DATE: N/A APX NUMBER OF HOURS PER WEEK: 36 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: 36 HOURS BRIEF DESCRIPTION OF DUTIES: OWNER, ADVISOR, MANAGER, AND ADMINISTRATOR;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-09-11
S63	Uniform Securities Agent State Law Examination	1982-09-04

S65 Uniform Investment Adviser Law Examination

1993-09-11
S63 Uniform Securities Agent State Law Examination

1982-09-04

Designations

Other Names

Rich Jeffery

View on SEC IAPD