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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

ALBERT L RICH

Advisor at CETERA INVESTMENT ADVISERS LLC

LONG BRANCH, NJ

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Search this name across graphsid dfx:ria:e9bb7bf6-5dcb-90bc-dbf4-10cc33dee22f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 9, 2003 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: Dec 3, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 3, 2003
First registration: Dec 9, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4393368

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	Dec 7, 2017	n/a	yes	LONG BRANCH, NJ	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Oct 13, 2015	Dec 6, 2017	no	PISCATAWAY, NJ\|SOMERSET, NJ\|AVENEL, NJ\|APPLETON, WI\|COLONIA, NJ\|EDISON, NJ\|CARTERET, NJ\|NORTH BRUSNWICK, NJ\|WOODBRIDGE, NJ\|DUNELLEN, NJ\|EDISON, NJ\|WHITEHOUSE, NJ\|PLUCKEMIN, NJ\|THREE BRIDGES, NJ\|MATAWAN, NJ\|PERTH AMBOY, NJ\|EDISON, NJ\|EAST BRUNSWICK, NJ	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	Apr 6, 2011	Oct 15, 2015	no	WOODBRIDGE, NJ\|NAPA, CA\|PISCATAWAY, NJ	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 27, 2008	Apr 18, 2011	no	WOODBRIDGE, NJ\|LINDEN, NJ\|COLONIA, NJ\|ELIZABETH, NJ\|ELIZABETH, NJ\|LINDEN, NJ\|COLONIA, NJ\|CLARK, NJ\|ELIZABETH, NJ\|ELIZABETH, NJ\|LINDEN, NJ\|COLONIA, NJ\|WOODBRIDGE, NJ\|WOODBRIDGE, NJ	Previous registration
IFMG SECURITIES, INC.	n/a	Dec 9, 2003	May 27, 2008	no	ELIZABETH, NJ\|COLONIA, NJ\|LINDEN, NJ\|LINDEN, NJ\|ELIZABETH, NJ\|ELIZABETH, NJ\|LINDEN, NJ\|LINDEN, NJ\|CLARK, NJ\|ELIZABETH, NJ\|ELIZABETH, NJ\|ELIZABETH, NJ	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
INVEST FINANCIAL CORPORATION	CETERA INVESTMENT ADVISERS LLC	Dec 6, 2017	Dec 7, 2017	1	Firm change	Other
ESSEX NATIONAL SECURITIES, INC.	INVEST FINANCIAL CORPORATION	Oct 15, 2015	Oct 13, 2015	-2	Firm change	Other
LPL FINANCIAL LLC	ESSEX NATIONAL SECURITIES, INC.	Apr 18, 2011	Apr 6, 2011	-12	Firm change	Other
IFMG SECURITIES, INC.	LPL FINANCIAL LLC	May 27, 2008	May 27, 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
12984:105644:NJ:2017-12-06	Dec 6, 2017	Dec 7, 2017	EAST BRUNSWICK, NJ	Firm change
25454:12984:NJ:2015-10-15	Oct 15, 2015	Oct 13, 2015	PISCATAWAY, NJ	Firm change

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Dec 7, 2017 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Oct 13, 2015 to Dec 6, 2017factForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
Apr 6, 2011 to Oct 15, 2015factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 27, 2008 to Apr 18, 2011factForm ADV
→ IFMG SECURITIES, INC.Registered adviserregistration: previous registration
Dec 9, 2003 to May 27, 2008factForm ADV

Dated events

No dated event names this entity yet.