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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

RICHARD WARREN LANCASTER

Advisor at CETERA INVESTMENT ADVISERS LLC

EVANSVILLE, IN

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Search this name across graphsid dfx:ria:27bce52a-59ec-d980-4e76-1b410c445db7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 30, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 16, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: May 16, 2005
First registration: Jan 30, 2006
Dual registered: yes, broker-dealer
Other names: Rick Lancaster|RICHARD W. LANCASTER|RICHARD WARREN LANCASTER
IAPD individual key: 4882333

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 5, 2025	n/a	yes	EVANSVILLE, IN	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Mar 22, 2017	Sep 5, 2025	no	Henderson, KY\|Evansville, IN	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Nov 29, 2007	Mar 31, 2017	no	EVANSVILLE, IN\|EVANSVILLE, IN	Previous registration
1ST GLOBAL ADVISORS INC	Former SEC adviser	Jan 30, 2006	Oct 12, 2007	no	EVANSVILLE, IN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	AVANTAX ADVISORY SERVICES	Mar 31, 2017	Mar 22, 2017	-9	Firm change	Other
1ST GLOBAL ADVISORS INC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Oct 12, 2007	Nov 29, 2007	48	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Mar 22, 2017 to Sep 5, 2025factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Nov 29, 2007 to Mar 31, 2017factForm ADV
→ 1ST GLOBAL ADVISORS INCRegistered adviserregistration: previous registration
Jan 30, 2006 to Oct 12, 2007factForm ADV

Dated events

No dated event names this entity yet.