Theodore A. Fiore

DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC

Roseland, NJ 07068

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CRD#: 2000406

Professional summary

Theodore Anthony Fiore, who also goes by Theodore Anthony Fiore Jr, Ted Fiore, is a registered financial advisor currently at DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC located in Roseland, New Jersey.

Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Theodore has worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Theodore Anthony Fiore Jr | Ted Fiore

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.

[Saint Catherine of Siena School; Volunteer to coach youth basketball at Saint Catherine of Siena School in Cedar Grove, NJ.; 39 E Bradford Ave, Cedar Grove, NJ 07009; Start Date 11/2023; Role/Title: Volunteer; Not Investment Related; 15 hours per month; 0 hours per month during securities trading hours]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Anthony Fiore'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®

None

Experience

Current

August 16, 2024 - Present

DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC

Office #1: 101 Eisenhower Pkwy Suite 108, Roseland, NJ 07068

RIA

CRD#: 321737

Roseland, NJ

Past

August 28, 2023 - July 29, 2024

NYLIFE SECURITIES LLC

CRD#: 5167

EDISON, NJ

Past

September 7, 2018 - December 31, 2020

PFS INVESTMENTS INC.

RIA

CRD#: 10111

HASBROUCK HEIGHTS, NJ

Past

August 23, 2018 - December 31, 2020

PFS INVESTMENTS INC.

CRD#: 10111

HASBROUCK HEIGHTS, NJ

Past

August 6, 2013 - September 23, 2016

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SHORT HILLS, NJ

Past

June 4, 2010 - September 23, 2016

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SHORT HILLS, NJ

Past

February 2, 2009 - April 20, 2010

VISION BROKERAGE SERVICES, LLC

CRD#: 47927

NEW YORK, NY

Past

September 16, 2005 - February 16, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 13, 2004 - September 2, 2005

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

February 10, 2003 - December 31, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

January 7, 2000 - June 12, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 22, 1999 - March 5, 2003

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

January 14, 1998 - August 22, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

February 2, 1994 - May 10, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 17, 1991 - December 3, 1993

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

November 22, 1989 - June 4, 1991

SOUTH RICHMOND SECURITIES, INC.

CRD#: 14913

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(8/16/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 9/29/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/2/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/19/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/19/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/19/2023

General Securities Principal Examination

Current Firm

DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC

CRD#: 321737 / SEC#:

New Jersey

Registered Investment Advisory firm - (8/31/2022 Approved)

Texas

Registered Investment Advisory firm - (5/25/2022 Conditional Restricted)

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Contact information

Main Address

101 Eisenhower Pkwy Suite 108, Roseland, NJ 07068

Mailing Address

Phone number

(973) 226-6000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	580
AUM (Assets Under Management)	$ 97,961,022

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

Theodore A. Fiore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Anthony Fiore's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

VISION BROKERAGE SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

GOLDMAN SACHS & CO. LLC

PRUCO SECURITIES, LLC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUCO SECURITIES, LLC.

PRUDENTIAL EQUITY GROUP, LLC

GUARDIAN INVESTOR SERVICES LLC

SOUTH RICHMOND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/29/2023

Series 65

Date: 8/2/2013

Series 7TO

Date: 5/19/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/19/2009

Series 7

Date: 11/18/1989

Series 24

Date: 5/19/2023

Current Firm

DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DIVERSIFIED PLANNING STRATEGIES ADVISORS LLC

TRUST BUT VERIFY

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