Rocco A. Domicolo

CETERA INVESTMENT ADVISERS LLC

BEDMINSTER, NJ 07921

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CRD#: 1259806

Professional summary

Rocco Anthony Domicolo, who also goes by Anthony R Domicolo, Anthony Rocco Domicolo, Anthony Domicolo, R Anthony Domicolo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bedminster, New Jersey and CETERA ADVISORS LLC located in Gladstone, New Jersey.

Rocco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Rocco has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony R Domicolo | Anthony Rocco Domicolo | Anthony Domicolo | R Anthony Domicolo

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) PRIVATE CLIENT GROUP; FINANCIAL ADVISOR; DBA; START DATE: 7/6/2020; 160 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rocco Anthony Domicolo'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®

None

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 376 Main Street Suite 200, Bedminster, NJ 07921

RIA

CRD#: 105644

BEDMINSTER, NJ

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 240 Main Street, Suite 200, Gladstone, NJ 07934

CRD#: 10299

Gladstone, NJ

Past

July 9, 2020 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

BEDMINSTER, NJ

Past

July 2, 2020 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

BEDMINSTER, NJ

Past

August 2, 2010 - July 8, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

FLORHAM PARK, NJ

Past

March 19, 2010 - July 8, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

FLORHAM PARK, NJ

Past

June 1, 2009 - April 14, 2010

MORGAN STANLEY

CRD#: 149777

WAYNE, NJ

Past

March 11, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WAYNE, NJ

Past

September 6, 1994 - March 14, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 22, 1989 - September 7, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 20, 1986 - January 19, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 3, 1985 - February 26, 1986

ROONEY, PACE INC.

CRD#: 6218

Past

March 25, 1985 - May 3, 1985

CIBC WORLD MARKETS CORP.

CRD#: 630

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

Maryland
(9/8/2022)

Massachusetts
(9/8/2022)

Missouri
(9/8/2022)

IAR

New Jersey
(11/12/2020)

New Jersey
(9/8/2022)

New York
(9/8/2022)

Pennsylvania
(9/8/2022)

Texas
(9/8/2022)

IAR

Texas
(11/1/2022)

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

IAR

Series 66

Date: 7/30/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/14/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/1985

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

Rocco A. Domicolo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rocco Anthony Domicolo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

ROONEY, PACE INC.

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/30/2010

Series 63

Date: 6/14/1985

SIE

Date: 10/1/2018

Series 7

Date: 3/16/1985

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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