Michael J. Aluotto

CETERA INVESTMENT ADVISERS LLC

Havre De Grace, MD 21078

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CRD#: 1827021

Professional summary

Michael Joseph Aluotto is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Havre De Grace, Maryland and CETERA ADVISORS LLC located in Havre De Grace, Maryland.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 13 firms and has passed the Series 65, Series 63, SIE 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. VERTEX WEALTH MANAGEMENT LLC; MEMBER MANAGER; OTHER; START DATE 09/19/2012; 160 HRS. PER MONTH. 2. DOMINICK ALUOTTO TRUST; TRUSTEE; FIDUCIARY POSITION; START DATE 01/20/2015; 4 HOURS PER MONTH. 3. JOSEPH ALUOTTO TRUSTS; CO POA, CO EXECUTOR, CO TRUSTEE; FIDUCIARY POSITION; START DATE: 03/16/2015; 4 HOURS PER MONTH 4. CORNELL CLUB NYC; COMMITTEE MEMBER; NON-PROFIT ORGANIZATION; START DATE: 3/2/2021; 4 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Aluotto'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 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 224 North Washington Street, Havre De Grace, MD 21078Office #2: 585 Stewart Avenue Suite L-16, Garden City, NY 11530

RIA

CRD#: 105644

Havre De Grace, MD

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 224 North Washington Street, Havre De Grace, MD 21078Office #2: 585 Stewart Avenue, Suite L-16,, Garden City, NY 11530

CRD#: 10299

Havre De Grace, MD

Past

November 21, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Garden City, NY

Past

September 21, 2012 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Garden City, NY

Past

April 30, 2009 - September 25, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

GARDEN CITY, NY

Past

January 6, 2009 - September 25, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

GARDEN CITY, NY

Past

August 8, 1996 - December 24, 2008

RGR FINANCIAL CORP.

CRD#: 40898

FREEHOLD, NJ

Past

July 31, 1993 - August 21, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 8, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 7, 1990 - October 23, 1992

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

August 31, 1989 - May 1, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 3, 1989 - August 10, 1989

JOSEPH MATTHEWS & COMPANY, INCORPORATED

CRD#: 19605

STATEN ISLAND, NY

Past

December 20, 1988 - February 13, 1989

SUPER FUND SECURITIES CORP.

CRD#: 18811

Past

July 19, 1988 - December 15, 1988

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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

California
(9/8/2022)

Connecticut
(9/8/2022)

Delaware
(9/8/2022)

Florida
(9/8/2022)

Illinois
(9/8/2022)

Maryland
(9/8/2022)

IAR

Maryland
(10/29/2024)

Massachusetts
(9/8/2022)

New Jersey
(9/8/2022)

IAR

New York
(3/31/2021)

New York
(9/8/2022)

Pennsylvania
(9/8/2022)

Rhode Island
(8/26/2024)

IAR

Texas
(11/12/2020)

Texas
(9/8/2022)

Washington
(9/8/2022)

Wyoming
(12/4/2023)

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: 12/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

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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Michael J. Aluotto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Aluotto's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

RGR FINANCIAL CORP.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

ADVEST, INC.

UBS FINANCIAL SERVICES INC.

JOSEPH MATTHEWS & COMPANY, INCORPORATED

SUPER FUND SECURITIES CORP.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1999

Series 63

Date: 8/4/1988

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1988

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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