DL
Dominic B. Lopiccolo
CETERA INVESTMENT ADVISERS LLC
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 1618332
DL
Professional summary
Dominic Benedict Lopiccolo, CFP®, ChFC®, who also goes by Dom B Lopiccolo, Dom Lopiccolo, Dominic B Lopiccolo, Dominic Lopiccolo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Red Bank, New Jersey and CETERA WEALTH SERVICES, LLC located in Red Bank, New Jersey.
Dominic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Dominic has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dom B Lopiccolo | Dom Lopiccolo | Dominic B Lopiccolo | Dominic Lopiccolo
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. VARIOUS INSURANCE CARRIERS, FIXED INSURANCE, SELLS LIFE, HEALTH, ANNUITIES, LONG TERM CARE INSURANCE; 2. NAME OF OTHER BUSINESS: LOPICCOLO FAMILY PARTNERSHIP, LLC, INVESTMENT RELATED: NO, ADDRESS: 5 NORTH VEPREK LANE, SOUTH HACKENSACK, NJ 07606, NATURE OF BUSINESS: RENTAL REAL ESTATE, POSITION/TITLE/RELATIONSHIP: 25% OWNERSHIP, START DATE: N/A, APPROX. NUMBER OF HOURS PER MONTH: 4, APPROX. NUMBER OF HOURS DURING TRADING HOURS:, BRIEF DESCRIPTION OF DUTIES: HANDLES RENTAL REAL ESTATE FOR 6 COMMERCIAL BUILDINGS; 3. NAME OF OTHER BUSINESS: NDA WEALTH FOUNDATION, INVESTMENT RELATED: YES, ADDRESS: 5 PROFESSIONAL CIRCLE, SUITE 202, COLTS NECK, NJ 07772, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: SEPTEMBER 1, 2012, APX NUMBER OF HOURS PER WEEK: 40 HOURS, APX NUMBER OF HOURS DURING TRADING HOURS: 40 HOURS, BRIEF DESCRIPTION OF DUTIES: REGISTERED REP; 4.NAME OF OTHER BUSINESS: LOPICCOLO PROPERTIES, LLC INVESTMENT RELATED: NO ADDRESS: 27 RIMWOOD LANE, COLTS NECK, NJ 07722 NATURE OF BUSINESS: REAL ESTATE START DATE: 01/2016 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: RENTAL REAL ESTATE; 5. NAME OF OTHER BUSINESS: CFP BOARD, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: PROFESSIONAL ORG, START DATE: 04/2023, POSITION/TITLE/RELATIONSHIP: VOLUNTEER, LESS THAN 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING EDUCATION TO LOW INCOME INDIVIDUALS;
CRS (Client Relationship Summary) - RIA
Click below to view Dominic Benedict Lopiccolo'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®
CFP®
Start date: 1994
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 41 Reckless Place, Red Bank, NJ 07701RIA
CRD#: 105644
Red Bank, NJ
Current
June 3, 1987 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 41 Reckless Place, Red Bank, NJ 07701BD
CRD#: 13572
Red Bank, NJ
Past
June 26, 2002 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
TEANECK, NJ
Past
January 21, 1987 - April 28, 1987
F.D. ROBERTS SECURITIES, INC.
BD
CRD#: 693
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
Arizona(7/30/2013)
RR
California(7/30/2013)
RR
Colorado(8/7/2019)
RR
Connecticut(3/18/2011)
RR
Delaware(1/10/2012)
RR
District of Columbia(4/1/2021)
RR
Florida(1/5/1995)
RR
Illinois(3/28/2024)
RR
Kentucky(12/10/2019)
RR
Louisiana(2/10/2022)
RR
Maryland(11/13/2008)
RR
Massachusetts(4/13/2011)
RR
Minnesota(1/6/2021)
RR
Missouri(7/30/2013)
RR
Montana(5/3/2022)
RR
Nevada(1/10/2011)
RR
New Hampshire(4/25/2011)
RR
New Jersey(6/4/1987)
IAR
New Jersey(6/29/2023)
RR
New York(1/7/1988)
RR
North Carolina(1/6/2011)
RR
Ohio(3/30/2011)
RR
Oregon(7/30/2013)
RR
Pennsylvania(1/10/2012)
RR
Rhode Island(2/8/2017)
RR
South Carolina(7/30/2013)
RR
Tennessee(1/14/2014)
RR
Texas(4/5/2022)
IAR
Texas(6/29/2023)
RR
Utah(7/24/2025)
RR
Vermont(5/26/2021)
RR
Virginia(3/15/2010)
RR
Washington(6/21/2018)
RR
Wisconsin(7/30/2013)
Exams
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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
