GP
Guy A. Paredes
ROCKDALE FINANCIAL SERVICES
Eatontown, NJ 07724
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CRD#: 1341194
GP
Professional summary
Guy Anthony Paredes is a registered financial advisor currently at ROCKDALE FINANCIAL SERVICES, INC. located in Eatontown, New Jersey and CETERA INVESTMENT ADVISERS LLC located in Eatontown, New Jersey.
Guy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Guy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) ROCKDALE FINANCIAL SERVICES, INC. INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, REGISTERED INVESTMENT ADVISOR, STARTED JANUARY 1, 2010, 25 HRS PER WEEK - DURING TRADING HOURS, EXECUTIVE VICE PRESIDENT, FINANCIAL SERVICES AND ADMINISTRATION. 2) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START 2008, 10 HRS/WEEK, VARIES DURING TRADING HOURS, INSURANCE AGENT SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 3) N/A, NOT INVESTMENT RELATED, 30 MINE ST, FLEMINGTON, NJ, 08822, REAL ESTATE, STARTED 05/2019, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LANDLORD FOR RENTAL PROPERTY.
CRS (Client Relationship Summary) - RIA
Click below to view Guy Anthony Paredes'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®
NoneExperience
Current
January 24, 2014 - Present
ROCKDALE FINANCIAL SERVICES, INC.
Office #1: 99 Corbett Way Suite 103, Eatontown, NJ 07724RIA
CRD#: 128829
Eatontown, NJ
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 99 Corbett Way Ste 103, Eatontown, NJ 07724Office #2: 28874 Blaisdell Drive, Naples, FL 34119RIA
CRD#: 105644
EATONTOWN, NJ
Current
February 22, 2008 - Present
CETERA ADVISORS LLC
Office #3: 99 Corbett Way Ste 103, Eatontown, NJ 07724BD
CRD#: 10299
Naples, FL
Past
February 25, 2008 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
PORT CHARLOTTE, FL
Past
April 9, 2001 - February 28, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
ALLENTOWN, NJ
Past
July 23, 1997 - April 6, 2001
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
June 17, 1988 - July 30, 1997
AMERICAN CAPITAL CORPORATION
BD
CRD#: 16124
VALLEY FORGE, PA
Past
December 10, 1985 - June 23, 1988
AMERICAN EAGLE SECURITIES, INC.
BD
CRD#: 12973
Past
March 6, 1985 - December 18, 1986
OSAIC FS, INC.
BD
CRD#: 3870
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
Colorado(11/3/2011)
RR
Florida(2/22/2008)
IAR
Florida(4/9/2024)
RR
Maine(2/22/2008)
RR
Maryland(9/23/2025)
RR
Massachusetts(11/12/2009)
RR
Minnesota(1/11/2024)
RR
Nevada(3/4/2022)
RR
New Jersey(2/22/2008)
IAR
New Jersey(1/24/2014)
RR
New York(12/6/2012)
RR
North Carolina(1/12/2024)
RR
Ohio(1/5/2022)
RR
Oregon(1/4/2012)
RR
Pennsylvania(2/22/2008)
IAR
Pennsylvania(4/26/2019)
RR
Tennessee(2/27/2025)
IAR
Texas(5/9/2017)
RR
Texas(1/11/2024)
IAR
Texas(3/21/2024)
RR
Virginia(8/21/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Eatontown, NJ 07724TRUST BUT VERIFY
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Contact information
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