AC
Anthony J. Capobianco
CETERA INVESTMENT ADVISERS LLC
CLIFTON PARK, NY 12065
Some features on this profile are disabled
CRD#: 1000972
AC
Professional summary
Anthony Jude Capobianco, ChFC®, CLU®, who also goes by Anthony J Capobianco, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clifton Park, New York and CETERA WEALTH SERVICES, LLC located in Clifton Park, New York.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Anthony has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony J Capobianco
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 1980 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: CAPOBIANCO & ASSOCIATES, LLC DBA CAPOBIANCO FINANCIAL ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL AND INSURANCE SERVICES; START DATE: 04/1999; POSITION/TITLE/RELATIONSHIP: PRINCIPLE / OWNER / FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40-50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL AND INSURANCE SERVICES; 3 .NAME OF OTHER BUSINESS: CHESTER SHORES HOA INVESTMENT RELATED: NO ADDRESS: LOON LAKE, CHESTERTOWN, NY NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION START DATE: 10/2009 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: COLLECT DUES AND PAY EXPENSES FOR HOA 4. NAME OF OTHER BUSINESS: FLATTER X SHERIFFA, LLC ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: THOROUGHBRED RACING; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS:0; BRIEF DESCRIPTION OF DUTIES:PART OWNER OF A RACE HORSE; 5. NAME OF OTHER BUSINESS: DREAM MAKER RACING; INVESTMENT RELATED: NO; ADDRESS: PO BOX 585, SARATOGA SPRINGS, NY 12866; NATURE OF BUSINESS: RACE HORSE; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: PART OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MINOR PARTNER IN RACE HORSE. NO DUTIES; 6. NAME OF OTHER BUSINESS: JC WIDE AWAKE LLC; INVESTMENT RELATED: NO; ADDRESS: 100 ELEANOR DRIVE KENDALL PARK, NJ 08824; NATURE OF BUSINESS: RACE HORSE; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MINOR PARTNER IN RACE HORSE, NO DUTIES;
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Jude Capobianco's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6 Executive Park Drive Suite A, Clifton Park, NY 12065RIA
CRD#: 105644
CLIFTON PARK, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6 Executive Park Drive Suite A, Clifton Park, NY 12065BD
CRD#: 13572
Clifton Park, NY
Past
October 15, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 1, 2004 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
CLIFTON PARK, NY
Past
January 14, 1986 - June 10, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
January 31, 1984 - December 9, 1985
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
Past
July 1, 1982 - May 1, 1987
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
April 8, 1982 - May 13, 1987
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/3/2013)
RR
Connecticut(4/1/2015)
RR
Florida(9/3/2013)
RR
Georgia(4/14/2014)
RR
Illinois(11/22/2016)
RR
Kentucky(1/2/2025)
RR
Maine(9/3/2013)
RR
Maryland(6/16/2015)
RR
Massachusetts(9/3/2013)
RR
Nevada(7/14/2014)
RR
New Hampshire(9/3/2013)
RR
New Jersey(11/24/2014)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(7/14/2014)
RR
Ohio(4/17/2023)
RR
Rhode Island(1/3/2022)
RR
South Carolina(6/2/2014)
RR
Texas(6/16/2014)
IAR
Texas(6/29/2023)
RR
Vermont(9/3/2013)
RR
Virginia(1/2/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
