SG
Steven A. Guarascio
CETERA INVESTMENT ADVISERS LLC
NYACK, NY
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CRD#: 1599116
SG
Professional summary
Steven Anthony Guarascio is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Nyack, New York and GUARASCIO CONSULTANTS, LLC located in Nyack, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 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. RIA GUARASCIO CONSULTANTS, LLC.
2. NAME OF OTHER BUSINESS: FINANCIAL NETWORK
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON
START DATE: 01/02/2013
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
3. NAME OF OTHER BUSINESS: RENTAL PROPERTIES
INVESTMENT RELATED: NO
ADDRESS: 53 TOMS POINT LN, LINCOLN PARK, NJ 07035
NATURE OF BUSINESS: REAL ESTATE
START DATE: 07/2009
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: 1,
NOT DURING TRADING HOURS:
BRIEF DESCRIPTION OF DUTIES: LANDLORD
CRS (Client Relationship Summary) - RIA
Click below to view Steven Anthony Guarascio'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NYACK, NY
Current
April 5, 2024 - Present
GUARASCIO CONSULTANTS, LLC
RIA
CRD#: 120204
Nyack, NY
Current
August 16, 2001 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 25a Vreeland Rd Ste 303, Florham Park, NJ 07932BD
CRD#: 13572
Florham Park, NJ
Past
February 4, 2016 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
NYACK, NY
Past
August 2, 2002 - December 26, 2006
GUARASCIO CONSULTANTS, LLC
RIA
CRD#: 120204
LINCOLN PARK, NJ
Past
March 18, 1999 - June 5, 2000
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
July 23, 1991 - March 5, 1999
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
July 10, 1989 - April 15, 1991
LEXINGTON FUNDS DISTRIBUTOR, INC.
BD
CRD#: 8194
SCOTTSDALE, AZ
Past
April 24, 1987 - June 30, 1989
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
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(8/16/2001)
RR
Connecticut(8/16/2001)
RR
Florida(5/20/2002)
RR
Illinois(1/22/2019)
RR
Massachusetts(8/16/2001)
RR
Michigan(2/24/2022)
RR
New Jersey(8/16/2001)
RR
New York(8/16/2001)
IAR
New York(6/29/2023)
RR
North Dakota(11/13/2024)
RR
Pennsylvania(8/16/2001)
RR
Tennessee(2/10/2023)
RR
Vermont(6/6/2002)
RR
Washington(1/2/2009)
RR
Wisconsin(2/19/2020)
Exams
State Security Law Exam
State Security Law 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
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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.
