Michael L. Gagliotti

CETERA INVESTMENT ADVISERS LLC

SOUTH RIVER, NJ 08882

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CRD#: 1636291

Professional summary

Michael Lawrence Gagliotti is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in South River, New Jersey and CETERA INVESTMENT SERVICES LLC located in South River, New Jersey.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 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.) TREASURER FOR HILLSIDE AVE HISTORIC DISTRICT ASSN, NO ACCESS TO BANK ACCOUNTS AND CHECK WRITING PRIVILEGES ARE IN DUAL CAPACITY, 1/4/HR/WK 2.) DIRECTOR OF SAVE THE QUEEN CITY NON PROFIT; ATTEND BOARD MEETINGS, VOTE ON PROPOSALS; ASSIST STQC IN FULFILLING ITS MANDATE; 1 HR/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lawrence Gagliotti'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

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 6 Jackson Street, South River, NJ 08882

RIA

CRD#: 105644

SOUTH RIVER, NJ

Current

July 12, 2007 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 6 Jackson Street, South River, NJ 08882

CRD#: 15340

South River, NJ

Past

November 15, 2010 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

OLD BRIDGE, NJ

Past

March 21, 2007 - July 19, 2007

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

MT LAUREL, NJ

Past

January 12, 1998 - October 5, 2000

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

May 16, 1996 - January 22, 1997

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

November 11, 1992 - May 15, 1996

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

December 22, 1987 - November 11, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 10, 1987 - April 5, 1988

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

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

Delaware
(3/15/2016)

Florida
(4/29/2010)

New Jersey
(7/12/2007)

IAR

New Jersey
(1/21/2014)

Pennsylvania
(6/20/2013)

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: 11/11/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/23/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/4/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/20/1994

General Securities Principal 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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Michael L. Gagliotti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lawrence Gagliotti's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

VOYA FINANCIAL ADVISORS, INC.

DIME SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

DIME SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/11/2010

Series 63

Date: 3/23/1987

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/20/2007

Series 6

Date: 3/4/1987

Series 24

Date: 10/20/1994

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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