AP
Anthony Pallotta
CETERA INVESTMENT ADVISERS LLC
AVON, OH 44011
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CRD#: 2190335
AP
Professional summary
Anthony Pallotta, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Avon, Ohio and CETERA WEALTH SERVICES, LLC located in Avon, Ohio.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Anthony has worked at 5 firms and has passed the 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.
NAME OF OTHER BUSINESS: VARIOUS INSURANCE COMPANIES
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED BRANCH
NATURE OF BUSINESS: INSURANCE
POSITION/TITLE/RELATIONSHIP: AGENT
START DATE: N/A
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: OFFERS FIXED LIFE, DISABILITY, ANNUITIES AND LTC
NAME OF OTHER BUSINESS: ANTHONY PALLOTTA, CPA
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED BRANCH
NATURE OF BUSINESS: TAX PREPARATION
POSITION/TITLE/RELATIONSHIP: OWNER
START DATE: N/A
APX NUMBER OF HOURS PER WEEK: 4.5
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: TAX PREP FOR SECURITIES/ADVISORY CLIENTS
NAME OF OTHER BUSINESS: NONE
INVESTMENT RELATED: NO
ADDRESS: NONE
NATURE OF BUSINESS: FIDUCIARY
POSITION/TITLE/RELATIONSHIP: TRUSTEE
START DATE: N/A
APX NUMBER OF HOURS PER WEEK: 2
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: TRUSTEE FOR THE CARLA PALLOTTA REVOCABLE LIVING TRUST
NAME OF OTHER BUSINESS: GPS FINANCIAL GROUP, LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED BRANCH
NATURE OF BUSINESS: SECURITIES DBA
POSITION/TITLE/RELATIONSHIP: PART OWNER AND REGISTERED REPRESENTATIVE
START DATE: N/A
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES
STEPHEN DZUREC OBA
NAME OF OTHER BUSINESS: GPS FINANCIAL GROUP, LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED BRANCH
NATURE OF BUSINESS: SECURITIES DBA
POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE
START DATE: N/A
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Pallotta'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: 1994
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 37307 Harvest Dr, Avon, OH 44011RIA
CRD#: 105644
AVON, OH
Current
March 5, 2012 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 37307 Harvest Dr, Avon, OH 44011BD
CRD#: 13572
Avon, OH
Past
March 5, 2012 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 19, 1999 - March 7, 2012
OSAIC WEALTH, INC.
RIA
CRD#: 23131
AVON, OH
Past
July 19, 1996 - March 7, 2012
OSAIC WEALTH, INC.
BD
CRD#: 23131
AVON, OH
Past
January 7, 1993 - August 8, 1996
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
November 13, 1991 - December 31, 1992
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
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".
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
Alaska(4/9/2012)
RR
Arizona(1/7/2025)
RR
California(7/18/2017)
RR
Colorado(2/15/2024)
RR
Delaware(5/24/2021)
RR
District of Columbia(6/16/2025)
RR
Florida(3/5/2012)
RR
Georgia(3/5/2012)
RR
Illinois(6/19/2012)
RR
Indiana(7/20/2018)
RR
Kentucky(8/1/2022)
RR
Maryland(3/5/2012)
RR
Michigan(3/5/2012)
RR
Montana(6/9/2025)
RR
Nevada(4/19/2018)
RR
New Hampshire(3/5/2012)
RR
New Jersey(3/5/2012)
RR
New York(3/5/2012)
RR
North Carolina(3/5/2012)
RR
Ohio(3/5/2012)
IAR
Ohio(6/29/2023)
RR
Oregon(2/1/2021)
RR
Pennsylvania(3/5/2012)
RR
South Carolina(6/16/2025)
RR
Tennessee(1/3/2019)
RR
Texas(6/9/2025)
IAR
Texas(6/9/2025)
RR
Virginia(5/3/2012)
RR
Washington(6/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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#: 105644Avon, OH 44011TRUST BUT VERIFY
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