WILLIAM FRANCIS RICHARD

WILLIAM FRANCIS RICHARD is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 1004 BOSTON NECK ROAD, STE 9, NARRAGANSETT, RI, 02882.

WILLIAM FRANCIS RICHARD has worked at CETERA ADVISORS LLC since October 03, 2016

Disclosure History

WILLIAM FRANCIS RICHARD has 1 Disclosure Event(s).

Date: August 08, 2005
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE RR DID NOT FULLY EXPLAIN OR DISCLOSE ALL NUANCES OF AN ANNUITY AND THAT THE ANNUITY WAS NOT APPROPRIATE FOR CLIENT AND SPOUSE.

Errors or Outdated Information?

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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