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RIA / WealthAdvisor31 years in industry

RICHARD ALLEN CEFFALIO

Advisor at NEWEDGE ADVISORS

Arlington Heights, IL | NEW ORLEANS, LA

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Search this name across graphsid dfx:ria:9c657982-5ff9-5fd7-ffc4-27315e168126

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 26, 2000 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: NEWEDGE ADVISORS
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: Jul 7, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 7, 1995
First registration: Dec 26, 2000
Dual registered: no
Other names: JR RICHARD ALLEN CEFFALIO|RICH CEFFALIO
IAPD individual key: 2619565

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
NEWEDGE ADVISORS	Bd affiliated wealth	Nov 19, 2019	n/a	yes	Arlington Heights, IL\|NEW ORLEANS, LA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Nov 2, 2012	Dec 6, 2019	no	ARLINGTON HEIGHTS, IL\|LAKE FOREST, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 3, 2008	Nov 12, 2012	no	NORTHBROOK, IL\|OAKBROOK TERRACE, IL\|OAKBROOK TERRACE, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Oct 9, 2008	no	ARLINGTON HEIGHTS, IL	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Dec 26, 2000	Jan 1, 2008	no	ARLINGTON HEIGHTS, IL\|ST. LOUIS, MO	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
WELLS FARGO ADVISORS	NEWEDGE ADVISORS	Dec 6, 2019	Nov 19, 2019	-17	Firm change	Wirehouse to RIA
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Nov 12, 2012	Nov 2, 2012	-10	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Oct 9, 2008	Oct 3, 2008	-6	Firm change	Wirehouse to wirehouse
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:171351:IL:2019-12-05	Dec 6, 2019	Nov 19, 2019	LAKE FOREST, IL	Firm change

Relationships

Registered with (4)

→ NEWEDGE ADVISORSRegistered adviserregistration: current employment
Nov 19, 2019 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 2, 2012 to Dec 6, 2019factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 3, 2008 to Nov 12, 2012factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Dec 26, 2000 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.