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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

RICHARD GETTY

Advisor at STRATEGIC ADVISERS LLC

ALBUQUERQUE, NM

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Search this name across graphsid dfx:ria:e527ad96-692c-a66f-5b95-56d4bdbcd904

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 16, 2008 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: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 12, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Sep 12, 1995
First registration: Jan 16, 2008
Dual registered: yes, broker-dealer
Other names: RICHARD JOHN GETTY
IAPD individual key: 2587647

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
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	ALBUQUERQUE, NM\|ALBUQUERQUE, NM	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Mar 31, 2025	no	BOSTON, MA\|ALBUQUERQUE, NM\|ALBUQUERQUE, NM	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Apr 27, 2012	Jul 13, 2018	no	SALT LAKE CITY, UT\|ALBUQUERQUE, NM	Previous registration
GWN SECURITIES INC.	Bd affiliated wealth	Apr 4, 2011	Apr 5, 2012	no	KEYSVILLE, UT\|PALM BEACH GARDENS, FL\|Kaysville, UT\|PALM BEACH GARDENS, FL	Previous registration
WADDELL & REED	Former SEC adviser	Jul 29, 2010	Sep 15, 2010	no	CLEARFIELD, UT	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	May 11, 2010	no	Holladay, UT	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Sep 16, 2008	Jun 1, 2009	no	HOLLADAY, UT	Previous registration
EDWARD JONES	National bd RIA	Jan 16, 2008	Jul 8, 2008	no	COTTONWOOD HEIGHTS, UT\|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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
GWN SECURITIES INC.	STRATEGIC ADVISERS LLC	Apr 5, 2012	Apr 27, 2012	22	Firm change	Other
WADDELL & REED	GWN SECURITIES INC.	Sep 15, 2010	Apr 4, 2011	201	Firm change	Other
MORGAN STANLEY	WADDELL & REED	May 11, 2010	Jul 29, 2010	79	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
EDWARD JONES	MORGAN STANLEY & CO. LLC	Jul 8, 2008	Sep 16, 2008	70	Firm change	Other

Relationships

Registered with (7)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Apr 27, 2012 to Jul 13, 2018factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
→ GWN SECURITIES INC.Registered adviserregistration: previous registration
Apr 4, 2011 to Apr 5, 2012factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jul 29, 2010 to Sep 15, 2010factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to May 11, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Sep 16, 2008 to Jun 1, 2009factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jan 16, 2008 to Jul 8, 2008factForm ADV

Dated events

No dated event names this entity yet.