Richard Alan Raff

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

• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

(1) SALES OF LIFE INSURANCE AND ANNUITIES; (2) NAME OF OTHER BUSINESS: RALLY MANAGEMENT GROUP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ENTITY USED FOR OFFICE EXPENSES; START DATE: 01/1987; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PAY OFFICE EXPENSES; (3) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: PUBLIC NOTARY ; START DATE: 01/1994 POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: MINIMAL ; APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL ; BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS WHEN NECESSARY ;

Exams

• S63 Uniform Securities Agent State Law Examination
  1982-02-09

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Richard A Raff