Lawrence R. Fiorini

CETERA INVESTMENT ADVISERS LLC

Placida, FL

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CRD#: 1988099

Professional summary

Lawrence Richard Fiorini JR, CFP®, CLU®, who also goes by Larry Fiorini Jr, Lawrence R Jr Fiorini, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Placida, Florida and CETERA WEALTH SERVICES, LLC located in Trappe, Pennsylvania.

Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Lawrence has worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Fiorini Jr | Lawrence R Jr Fiorini

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.

NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 740 W MAIN ST; TRAPPE; PA; 19426; Fixed Insurance Sales; Independent Insurance Agent; 1/8/2021; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:Flagship Financial; Yes; 55 Sunnybrook Rd; Sanatoga; PA; 19464; Financial Services/; Vice President; 5/1/2021; 200; 100; Sale and Service Insurance, Securities and Investment Products|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Richard Fiorini 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®

CFP^®

Certified Financial Planner

Start date: 1993

CLU^®

Chartered Life Underwriter

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 740 W Main St, Trappe, PA 19426Office #3: 55 Sunnybrook Road, Sanatoga, PA 19464

RIA

CRD#: 105644

Placida, FL

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 740 W Main St, Trappe, PA 19426Office #2: 55 Sunnybrook Road, Sanatoga, PA 19464

CRD#: 13572

Trappe, PA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Placida, FL

Past

January 8, 2021 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

TRAPPE, PA

Past

January 8, 2021 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

TRAPPE, PA

Past

January 15, 2014 - January 11, 2021

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

CRD#: 38357

PLYMOUTH MEETING, PA

Past

March 2, 2006 - November 19, 2013

VALMARK SECURITIES, INC.

CRD#: 31243

PLYMOUTH MEETING, PA

Past

February 23, 2006 - January 11, 2021

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

RIA

CRD#: 38357

PLYMOUTH MEETING, PA

Past

September 24, 2001 - February 23, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

PLYMOUTH MEETING, PA

Past

June 27, 2001 - February 23, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PLYMOUTH MEETING, PA

Past

November 27, 2000 - July 23, 2001

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

June 19, 2000 - November 16, 2000

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

May 10, 2000 - June 15, 2000

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

November 30, 1998 - May 10, 2000

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

April 2, 1998 - January 21, 1999

GOLDK INVESTMENT SERVICES, INC

CRD#: 15514

BOSTON, MA

Past

July 1, 1996 - April 22, 1998

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

July 7, 1994 - July 1, 1996

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

December 7, 1989 - July 18, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

December 7, 1989 - July 18, 1994

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

Colorado
(6/9/2021)

Connecticut
(6/9/2021)

Florida
(6/11/2021)

IAR

Florida
(1/17/2024)

Georgia
(6/9/2021)

Maine
(6/9/2021)

Nevada
(12/6/2023)

New Jersey
(6/9/2021)

New York
(1/15/2025)

Pennsylvania
(6/9/2021)

IAR

Pennsylvania
(6/29/2023)

South Carolina
(6/9/2021)

Washington
(6/9/2021)

West Virginia
(6/9/2021)

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

Series 63

Date: 3/13/1990

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: 4/29/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/6/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 7/13/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/1/2003

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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Advisor Monitoring

Firm Stability Insights

Lawrence R. Fiorini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Richard Fiorini JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

VALMARK SECURITIES, INC.

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

1ST GLOBAL CAPITAL CORP.

IFMG SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

GUARANTY BROKERAGE SERVICES, INC.

GOLDK INVESTMENT SERVICES, INC

IFMG SECURITIES, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/13/1990

SIE

Date: 10/1/2018

Series 7

Date: 4/29/1997

Series 6

Date: 12/6/1989

Series 51

Date: 7/13/2005

Series 24

Date: 10/1/2003

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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