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Richard Peter Adler

Commonwealth Financial Network

West Harrison, NY

CRD 3169981

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Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-06-08
  • NY RA
    APPROVED
    Since 2022-06-08

Branch Locations

1025 Westchester Avenue, West Harrison, NY 10604 • 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
Kass & Jaffe Cpas White Plains NY 11/1982 Present
Fusion Financial Group White Plains NY 01/2004 06/2022
Kestra Investment Services, Llc. Tarrytown NY 04/2016 06/2022
Kestra Advisory Services, Llc Tarrytown NY 04/2016 06/2022
Commonwealth Financial Network Waltham MA 06/2022 Present
  • 11/1982 → Present
    Kass & Jaffe Cpas
    White Plains, NY
  • 01/2004 → 06/2022
    Fusion Financial Group
    White Plains, NY
  • 04/2016 → 06/2022
    Kestra Investment Services, Llc.
    Tarrytown, NY
  • 04/2016 → 06/2022
    Kestra Advisory Services, Llc
    Tarrytown, NY
  • 06/2022 → Present
    Commonwealth Financial Network
    Waltham, MA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-01-20
  • S63 Uniform Securities Agent State Law Examination
    1999-01-20

View on SEC IAPD

Nearby Firms

FOREPONT CAPITAL LLC
KINGSWOOD WEALTH ADVISORS, LLC
SUMMIT FINANCIAL, LLC

Nearby Investors

BRUCE IRA GREENBERG
George L Rioseco
Nicholas E Simini

Nearby Offices

FOREPONT CAPITAL LLC · WHITE PLAINS, NY
KINGSWOOD WEALTH ADVISORS, LLC · White Plains, NY
SUMMIT FINANCIAL, LLC · WHITE PLAINS, NY

More in West Harrison, NY

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