Carolyn Pozzi

CETERA INVESTMENT ADVISERS LLC

JACKSONVILLE, FL 32218

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CRD#: 1083038

Professional summary

Carolyn Pozzi, CFP®, who also goes by Candy Pozzi, Carolyn Shapiro Pozzi, Carolyn Shapiro, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jacksonville, Florida and CETERA INVESTMENT SERVICES LLC located in Jacksonville, Florida.

Carolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Carolyn has worked at 17 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Candy Pozzi | Carolyn Shapiro Pozzi | Carolyn Shapiro

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- 03/2024 / Vystar Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related 2- 03/2024 / Pozzi Enterprise LLC / Real Estate Rental / Investment Related / start date 01/20/2015

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Pozzi's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

November 4, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 110 Busch Drive, Jacksonville, FL 32218

RIA

CRD#: 105644

JACKSONVILLE, FL

Current

October 28, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 110 Busch Drive, Jacksonville, FL 32218

CRD#: 15340

JACKSONVILLE, FL

Past

March 7, 2024 - November 8, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

JACKSONVILLE, FL

Past

March 7, 2024 - November 8, 2024

LPL FINANCIAL LLC

CRD#: 6413

JACKSONVILLE, FL

Past

December 12, 2019 - March 4, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

TALLAHASSEE, FL

Past

December 9, 2019 - March 4, 2024

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ORLANDO, FL

Past

March 1, 2019 - December 3, 2019

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

FERNANDINA BEACH, FL

Past

March 1, 2019 - December 3, 2019

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

FERNANDINA BEACH, FL

Past

December 5, 2018 - March 1, 2019

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

FERNANDINA BEACH, FL

Past

December 3, 2018 - March 1, 2019

QUESTAR CAPITAL CORPORATION

CRD#: 43100

FERNANDINA BEACH, FL

Past

October 1, 2003 - November 12, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HUNTERSVILLE, NC

Past

October 1, 2003 - November 12, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HUNTERSVILLE, NC

Past

April 26, 2002 - November 18, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHARLOTTE, NC

Past

January 22, 2002 - November 18, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

February 14, 2000 - January 16, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

May 22, 1995 - February 14, 2000

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

March 14, 1994 - May 15, 1995

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 14, 1994 - May 15, 1995

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

August 26, 1992 - March 11, 1994

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

February 13, 1992 - July 13, 1992

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

January 3, 1991 - January 29, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 22, 1988 - March 30, 1989

GLOBAL CAPITAL SECURITIES, INC.

CRD#: 13358

Past

August 1, 1986 - November 24, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Past

October 13, 1983 - August 15, 1986

INVEST FINANCIAL CORPORATION

CRD#: 12984

Past

April 19, 1983 - September 16, 1983

LEHMAN BROTHERS INC.

CRD#: 7506

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(11/12/2024)

Florida
(10/29/2024)

IAR

Florida
(11/4/2024)

Georgia
(10/29/2024)

Illinois
(11/8/2024)

Louisiana
(7/16/2025)

New York
(10/29/2024)

North Carolina
(11/14/2024)

Ohio
(10/29/2024)

South Carolina
(10/29/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/13/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/15/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Carolyn Pozzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Pozzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WACHOVIA SECURITIES, INC.

WACHOVIA BROKERAGE SERVICE

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

USLIFE EQUITY SALES CORP.

USLIFE EQUITY SALES CORP.

MORGAN STANLEY DW INC.

GLOBAL CAPITAL SECURITIES, INC.

MORGAN STANLEY DW INC.

INVEST FINANCIAL CORPORATION

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/2019

Series 65

Date: 9/15/1999

SIE

Date: 1/2/2023

Series 7

Date: 4/16/1983

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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