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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

RICHARD MARTIN ELLINGTON

Advisor at CETERA INVESTMENT ADVISERS LLC

WOBURN, MA

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Search this name across graphsid dfx:ria:b90c523d-6452-bbb7-c946-49cecdbf86f2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 27, 2001 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 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Dec 21, 1999
First registration: Feb 27, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4093389

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	Apr 10, 2025	n/a	yes	WOBURN, MA	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	May 5, 2014	Apr 1, 2025	no	MERIDEN, CT\|MERIDEN, CT\|IPSWICH, MA\|BOSTON, MA\|ESSEX, MA\|GLOUCESTER, MA\|ROWLEY, MA\|NEWBURYPORT, MA\|Danvers, MA\|LEXINGTON, MA\|BURLINGTON, MA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Feb 18, 2011	Apr 25, 2014	no	WOBURN, MA	Previous registration
NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.	Former SEC adviser	Feb 13, 2006	Aug 24, 2010	no	NORTH ANDOVER, MA	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Apr 28, 2005	Aug 20, 2010	no	ROWLEY, MA\|NORTH ANDOVER, MA	Previous registration
EASTERN POINT ADVISORS INC.	n/a	Nov 5, 2003	Apr 14, 2005	no	DANVERS, MA	Previous registration
WADDELL & REED	Former SEC adviser	Feb 27, 2001	Nov 11, 2003	no	WOBURN, MA	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
OSAIC INSTITUTIONS, INC.	CETERA INVESTMENT ADVISERS LLC	Apr 1, 2025	Apr 10, 2025	9	Firm change	Ibd to ibd
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	OSAIC INSTITUTIONS, INC.	Apr 25, 2014	May 5, 2014	10	Firm change	Other
NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Aug 24, 2010	Feb 18, 2011	178	Firm change	Other
COMMONWEALTH FINANCIAL NETWORK	NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.	Aug 20, 2010	Feb 13, 2006	-1,649	Firm change after gap	Other
EASTERN POINT ADVISORS INC.	COMMONWEALTH FINANCIAL NETWORK	Apr 14, 2005	Apr 28, 2005	14	Firm change	Other
WADDELL & REED	EASTERN POINT ADVISORS INC.	Nov 11, 2003	Nov 5, 2003	-6	Firm change	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Apr 10, 2025 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
May 5, 2014 to Apr 1, 2025factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Feb 18, 2011 to Apr 25, 2014factForm ADV
→ NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.Registered adviserregistration: previous registration
Feb 13, 2006 to Aug 24, 2010factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Apr 28, 2005 to Aug 20, 2010factForm ADV
→ EASTERN POINT ADVISORS INC.Registered adviserregistration: previous registration
Nov 5, 2003 to Apr 14, 2005factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Feb 27, 2001 to Nov 11, 2003factForm ADV

Dated events

Occurred
Apr 1, 2025
Advisor changed firm
Richard Martin Ellington left Osaic Institutions, Inc. for Cetera Investment Advisers Llc (registered 2025-04-10)
Form ADVobserved 5 days ago