Michael E. Mollica

CETERA INVESTMENT ADVISERS LLC

ALTAMONTE SPRINGS, FL 32701

Some features on this profile are disabled

CRD#: 1715530

Professional summary

Michael Emmanuel Mollica JR, who also goes by Michael Emmanuel Mollica, Michael Mollica Jr, Mike Mollica Jr, Mike Mollica, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Altamonte Springs, Florida and CETERA FINANCIAL SPECIALISTS LLC located in Altamonte Springs, Florida.

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 8 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Emmanuel Mollica | Michael Mollica Jr | Mike Mollica Jr | Mike Mollica

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) MOLLICA TAX ADVISORS LLC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, ADVISE CLIENTS AS TO TAX STRATEGIES CONNECTED WITH CURRENT GOALS AND PLANS, 10H/WEEK, 5H/WEEK DURING TRADING HOURS, SINCE 01/1990. 2) ELITE MOUNTAIN HOLDING DBA RANGELINE HOMES, INVESTMENT RELATED, SALES OF MOBILE HOMES, PARTNER, 0H/WEEK, SINCE 2014 3) REAL ESTATE OWNERSHIP LOT/LAND, FRANKLIN NC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, RENTAL PROPERTY OWNERSHIP, 0H/WEEK, SINCE 05/2015.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Emmanuel Mollica JR'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

December 18, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 283 Cranes Roost Blvd Ste 111, Altamonte Springs, FL 32701

RIA

CRD#: 105644

ALTAMONTE SPRINGS, FL

Current

December 18, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 283 Cranes Roost Blvd Ste 111, Altamonte Springs, FL 32701

CRD#: 10358

Altamonte Springs, FL

Past

November 29, 2021 - January 2, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ORLANDO, FL

Past

November 29, 2021 - January 2, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ORLANDO, FL

Past

December 19, 2016 - January 5, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

LONGWOOD, FL

Past

January 7, 2016 - January 5, 2022

LPL FINANCIAL LLC

CRD#: 6413

LONGWOOD, FL

Past

November 16, 2006 - January 9, 2016

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

LONGWOOD, FL

Past

July 23, 1999 - November 16, 2006

NATIONAL PLANNING CORPORATION

CRD#: 29604

CASSELBERRY, FL

Past

July 10, 1991 - July 27, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 4, 1989 - July 10, 1991

VFS SECURITIES CORP.

CRD#: 17476

Past

August 4, 1987 - January 21, 1989

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

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

Arizona
(10/31/2025)

California
(7/18/2024)

Colorado
(12/18/2023)

Florida
(12/18/2023)

IAR

Florida
(12/26/2023)

Georgia
(12/18/2023)

Indiana
(10/4/2024)

Kentucky
(12/18/2023)

Maryland
(12/18/2023)

New Jersey
(12/18/2023)

New York
(12/18/2023)

North Carolina
(12/18/2023)

Pennsylvania
(12/18/2023)

Puerto Rico
(12/18/2023)

Tennessee
(12/18/2023)

Texas
(12/18/2023)

IAR

Texas
(12/18/2023)

Virginia
(12/18/2023)

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: 12/13/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 7/25/1988

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 8/7/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/1989

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Shelly Wohler

INDEPENDENT FINANCIAL PARTNERS

IAR

Brookfield, WI

Jackson Tiller

NYLIFE SECURITIES LLC

CHARLESTON, SC

Kevin Harrell

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Reno, NV

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael E. Mollica

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Emmanuel Mollica JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA FINANCIAL SPECIALISTS LLC

NATIONAL PLANNING CORPORATION

OSAIC WEALTH, INC.

VFS SECURITIES CORP.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/2016

Series 63

Date: 8/17/1987

SIE

Date: 10/1/2018

Series 62

Date: 7/25/1988

Series 22

Date: 8/7/1987

Series 6

Date: 7/31/1987

Series 24

Date: 1/26/1989

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

Similar Advisors