Patrick G. Perrotta

CETERA INVESTMENT ADVISERS LLC

LOMBARD, IL 60148

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CRD#: 1546394

Professional summary

Patrick Gennaro Perrotta is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lombard, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Lombard, Illinois.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Patrick has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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) HURT & ASSOCIATES / HURT & ASSOCIATES, INC.; INV REL; LOMBARD, IL; DBA NAME FOR INVESTMENT BUSINESS; FINANCIAL SERVICES; START DATE 11/2017; 160 HRS/MTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Gennaro Perrotta'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 30, 2017 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 101 Orchard Terrace, Lombard, IL 60148

RIA

CRD#: 105644

LOMBARD, IL

Current

November 30, 2017 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 101 Orchard Terrace, Lombard, IL 60148

CRD#: 10358

Lombard, IL

Past

August 30, 2016 - October 5, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SCHAUMBURG, IL

Past

August 30, 2016 - October 5, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SCHAUMBURG, IL

Past

January 24, 2014 - September 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WOODSTOCK, IL

Past

January 24, 2014 - September 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WOODSTOCK, IL

Past

September 15, 2006 - December 31, 2013

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

ITASCA, IL

Past

September 15, 2006 - December 31, 2013

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ITASCA, IL

Past

August 16, 2005 - June 7, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RIVERWOODS, IL

Past

June 29, 2005 - June 7, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 17, 1987 - March 24, 1987

ALLIED CAPITAL GROUP, INC.

CRD#: 13146

Past

August 19, 1986 - February 20, 1987

SECURITIES USA, INC.

CRD#: 14799

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

Colorado
(4/25/2019)

Florida
(6/4/2021)

Illinois
(11/30/2017)

IAR

Illinois
(11/30/2017)

Indiana
(12/20/2018)

Michigan
(5/20/2022)

Missouri
(11/30/2017)

Wisconsin
(6/13/2022)

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 65

Date: 8/15/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/22/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/27/2005

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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Firm Stability Insights

Patrick G. Perrotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Gennaro Perrotta's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

ALLIED CAPITAL GROUP, INC.

SECURITIES USA, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2005

Series 63

Date: 7/29/2005

SIE

Date: 10/1/2018

Series 31

Date: 8/22/2005

Series 7

Date: 6/27/2005

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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