Dean A. Teofilo
CETERA INVESTMENT ADVISERS LLC
WAUWATOSA, WI 53226
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CRD#: 1933005
Professional summary
Dean Anthony Teofilo, CFP®, who also goes by Dean A Teofilo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wauwatosa, Wisconsin and CETERA ADVISORS LLC located in Wauwatosa, Wisconsin.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Dean has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dean A Teofilo
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.)NAME OF OTHER BUSINESS: UW BAND ALUMNI ASSOCIATION; INVESTMENT RELATED: NO ; ADDRESS:650 N LAKE ST MADISON, WI 53706; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: HELPS TO PLAN THE ANNUAL REUNION EVENT; 2.)DEAN TEOFILO; AGENT; INSURANCE; START DATE: 4/1/2008. 3.) TEOFILO & COMPANY LLC; SOLE PROPRIETOR; DBA; START DATE 09/19/2011; 160 HRS. PER MONTH. 4.) WAUWATOSA CHAMBER OF COMMERCE; VOLUNTEER BOARD MEMBER; NON-PROFIT ORGANIZATION; START DATE: 11/01/2018; 8 HOURS PER MONTH. 5.) LOWELL DAMON WOODS NEIGHBORHOOD ASSOCIATION; BOARD MEMBER; NON-PROFIT ORGANIZATION; START DATE: 7/18/2019; 4 HOURS PER MONTH. 6.) DEAN TEOFILO NOTARY PUBLIC; NOTARY PUBLIC; ATTORNEY/PARALEGAL/NOTARY SERVICES; START DATE: 8/16/2021; 4 HOURS PER MONTH. 7.) NAME OF OTHER BUSINESS: WISCONSIN PUBLIC RADIO ASSOC; INVESTMENT RELATED: NO; ADDRESS: 821 UNIVERSITY AVE MADISON, WI 53706; NATURE OF BUSINESS: NON PROFIT ; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: VOLUNTEER BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND 5 BOARD MEETINGS PER YEAR, SUPPORT ORGANIZATION BY STEWARDSHIP AND ADVOCACY;
CRS (Client Relationship Summary) - RIA
Click below to view Dean Anthony Teofilo'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: 2011
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 909 N. Mayfair Road Suite 200, Wauwatosa, WI 53226RIA
CRD#: 105644
WAUWATOSA, WI
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1233 N Mayfair Road, Suite 212, Wauwatosa, WI 53226BD
CRD#: 10299
Wauwatosa, WI
Past
May 30, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
WAUWATOSA, WI
Past
January 3, 2007 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
WAUWATOSA, WI
Past
February 11, 1993 - January 3, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
BROOKFIELD, WI
Past
May 10, 1991 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
BROOKFIELD, WI
Past
February 26, 1990 - May 17, 1991
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
November 19, 1989 - February 28, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
March 21, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(1/8/2025)
RR
Idaho(1/2/2024)
RR
Illinois(9/8/2022)
RR
Michigan(9/8/2022)
RR
Minnesota(9/8/2022)
RR
Missouri(9/13/2022)
RR
New York(9/8/2022)
RR
North Carolina(8/23/2023)
RR
Ohio(9/8/2022)
RR
Oklahoma(9/8/2022)
RR
Oregon(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
Texas(3/4/2024)
IAR
Texas(3/4/2024)
RR
Vermont(9/8/2022)
IAR
Wisconsin(11/12/2020)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wauwatosa, WI 53226TRUST BUT VERIFY
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