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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

WILLIAM FRANKLIN RICHARDSON

Advisor at CETERA INVESTMENT ADVISERS LLC

HOUSTON, TX

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Search this name across graphsid dfx:ria:a445d94a-4cf7-cfbc-045e-3d587085eb2e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 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: Jan 29, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jan 29, 1981
First registration: Oct 30, 2006
Dual registered: yes, broker-dealer
Other names: FRANK RICHARDSON|WILLIAM FRANKLIN RICHARDSON|William Franklin Richardson
IAPD individual key: 721293

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	HOUSTON, TX	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Oct 8, 2020	Sep 5, 2025	no	Houston, TX	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jul 17, 2020	Oct 12, 2020	no	HOUSTON, TX	Previous registration
INVESTACORP ADVISORY SERVICES INC	Former SEC adviser	Jan 5, 2012	Jul 17, 2020	no	HOUSTON, TX	Previous registration
GENEOS WEALTH MANAGEMENT, INC.	Bd affiliated wealth	Apr 20, 2011	Dec 31, 2011	no	HOUSTON, TX\|SUGAR LAND, TX	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Oct 30, 2006	Apr 18, 2011	no	HOUSTON, TX\|HOUSTON, TX\|SUGARLAND, TX	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
SECURITIES AMERICA ADVISORS, INC.	AVANTAX ADVISORY SERVICES	Oct 12, 2020	Oct 8, 2020	-4	Firm change	Ibd to ibd
INVESTACORP ADVISORY SERVICES INC	SECURITIES AMERICA ADVISORS, INC.	Jul 17, 2020	Jul 17, 2020	0	Bulk transfer	Ibd to ibd
GENEOS WEALTH MANAGEMENT, INC.	INVESTACORP ADVISORY SERVICES INC	Dec 31, 2011	Jan 5, 2012	5	Firm change	Other
NEXT FINANCIAL GROUP, INC.	GENEOS WEALTH MANAGEMENT, INC.	Apr 18, 2011	Apr 20, 2011	2	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
110518:104556:TX:2020-10-09	Oct 12, 2020	Oct 8, 2020	HOUSTON, TX	Firm change

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Oct 8, 2020 to Sep 5, 2025factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jul 17, 2020 to Oct 12, 2020factForm ADV
→ INVESTACORP ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Jan 5, 2012 to Jul 17, 2020factForm ADV
→ GENEOS WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 20, 2011 to Dec 31, 2011factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Oct 30, 2006 to Apr 18, 2011factForm ADV

Dated events

No dated event names this entity yet.