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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

RICHARD PAUL KUNDRACIK

Advisor at CETERA INVESTMENT ADVISERS LLC

FARMINGTON HLS, MI | PARKER, CO

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Search this name across graphsid dfx:ria:2c20c5ee-81e5-526c-8d39-7c4b2e1a4ec8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 7, 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: Oct 12, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S66
First exam: Oct 12, 2004
First registration: Sep 7, 2006
Dual registered: yes, broker-dealer
Other names: RICK KUNDRACIK|RICHARD P KUNDRACIK
IAPD individual key: 1212638

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	Mar 14, 2024	n/a	yes	FARMINGTON HLS, MI\|PARKER, CO	Current employment
HARTSHORNE GROUP, LLC	No RAUM reported	Oct 7, 2020	Mar 20, 2024	no	PARKER, CO\|RED BANK, NJ	Previous registration
WBI INVESTMENTS, LLC	Independent wealth	May 17, 2016	Mar 20, 2024	no	RED BANK, NJ	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Nov 1, 2010	Apr 27, 2016	no	ATLANTA, GA\|ATLANTA, GA	Previous registration
WBI INVESTMENTS, LLC	Independent wealth	Aug 4, 2009	Oct 7, 2010	no	PARKER, CO\|RED BANK, NJ	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Sep 7, 2006	May 21, 2009	no	DENVER, CO\|GREENWOOD VILLAGE, CO	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
WBI INVESTMENTS, LLC	HARTSHORNE GROUP, LLC	Mar 20, 2024	Oct 7, 2020	-1,260	Channel change	Other
HARTSHORNE GROUP, LLC	CETERA INVESTMENT ADVISERS LLC	Mar 20, 2024	Mar 14, 2024	-6	Firm change	RIA to ibd
FSC SECURITIES CORPORATION	WBI INVESTMENTS, LLC	Apr 27, 2016	May 17, 2016	20	Firm change	Other
WBI INVESTMENTS, LLC	FSC SECURITIES CORPORATION	Oct 7, 2010	Nov 1, 2010	25	Firm change	Other
CETERA ADVISORS LLC	WBI INVESTMENTS, LLC	May 21, 2009	Aug 4, 2009	75	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Mar 14, 2024 to presentfactForm ADV
→ WBI INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 17, 2016 to Mar 20, 2024factForm ADV
→ HARTSHORNE GROUP, LLCRegistered adviserregistration: previous registration
Oct 7, 2020 to Mar 20, 2024factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Nov 1, 2010 to Apr 27, 2016factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Sep 7, 2006 to May 21, 2009factForm ADV

Dated events

Occurred
Mar 20, 2024
Advisor changed firm
Richard Paul Kundracik left Hartshorne Group, Llc for Cetera Investment Advisers Llc (registered 2024-03-14)
Form ADVobserved 4 days ago