BA
Brett M. Amendola
CETERA INVESTMENT ADVISERS LLC
NEW HAVEN, CT 06513
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CRD#: 2160647
BA
Professional summary
Brett M Amendola, who also goes by Brett Matthew Amendola, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Haven, Connecticut and CETERA WEALTH SERVICES, LLC located in New Haven, Connecticut.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Brett has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brett Matthew Amendola
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: QUINNIPIAC UNIVERSITY BOARD OF TRUSTEES INVESTMENT RELATED: NO ADDRESS: 275 MOUNT CARMEL AVE HAMDEN, CT 06518 NATURE OF BUSINESS: TRUST BOARD FOR UNIVERSITY START DATE: 05/2020 POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER - CHAIR OF THE INVESTMENT COMMITTEE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN AND CHAIR MEETING ON THE DIRECTION OF THE UNIVERSITY 2. NAME OF OTHER BUSINESS: WOOSTER SQUARE ADVISORS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2023 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 9 BRIEF DESCRIPTION OF DUTIES: WORK DIRECTLY WITH CLIENTS AS A WEALTH MANAGER AND ASSIST OTHER ADVISORS WITH THEIR CLIENTS; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/15/1991; APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0.5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 4. NAME OF OTHER BUSINESS: AEGIS BENEFITS CONSULTING ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE DBA; START DATE: 007/2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0.15; BRIEF DESCRIPTION OF DUTIES: INSURANCE DBA, SALE OF LIFE, HEALTH AND DISABILITY INSURANCE; 5. NAME OF OTHER BUSINESS: WOOSTER SQUARE PARTNERS LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERIVCES; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, MANAGERIAL DUTIES, RECRUITMENT ;
CRS (Client Relationship Summary) - RIA
Click below to view Brett M Amendola'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 470 James Street, New Haven, CT 06513RIA
CRD#: 105644
NEW HAVEN, CT
Current
February 15, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 470 James Street, New Haven, CT 06513BD
CRD#: 13572
New Haven, CT
Past
February 15, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
New Haven, CT
Past
September 11, 2012 - February 16, 2023
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEW HAVEN, CT
Past
August 13, 2012 - February 16, 2023
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW HAVEN, CT
Past
August 3, 2010 - July 24, 2012
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
FARMINGTON, CT
Past
August 3, 2010 - July 24, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FARMINGTON, CT
Past
February 8, 2002 - July 7, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WETHERSFIELD, CT
Past
January 26, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
WETHERSFIELD, CT
Past
January 26, 2002 - July 7, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WETHERSFIELD, CT
Past
November 29, 2000 - January 10, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 18, 1999 - December 1, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
July 5, 1994 - October 19, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 15, 1991 - October 19, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
California(7/14/2025)
RR
Colorado(10/13/2025)
RR
Connecticut(2/15/2023)
IAR
Connecticut(6/29/2023)
RR
Florida(2/15/2023)
RR
Illinois(9/3/2024)
RR
Maine(1/5/2024)
RR
Maryland(3/15/2023)
RR
Massachusetts(2/15/2023)
RR
New York(2/15/2023)
RR
Pennsylvania(2/15/2024)
RR
Rhode Island(2/15/2023)
RR
Tennessee(11/11/2025)
RR
Texas(4/30/2025)
IAR
Texas(4/30/2025)
RR
Vermont(3/24/2025)
RR
Virginia(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644New Haven, CT 06513TRUST BUT VERIFY
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