AB
Alice C. Baboushkin
CETERA INVESTMENT ADVISERS LLC
PARSIPPANY, NJ 07054
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CRD#: 2201010
AB
Professional summary
Alice Catherine Baboushkin, CFP®, who also goes by Alice Catherine Roman, Alice Catherine Roman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Parsippany, New Jersey and CETERA ADVISORS LLC located in Delray Beach, Florida.
Alice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Alice has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alice Catherine Roman | Alice Catherine Roman
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. FIXED INSURANCE, LIFE/DISABILITY/ANNUITIES/LONG-TERM CARE 2. NAME OF OTHER BUSINESS: PASCARELLA WEALTH PARTNERS LLC AND PASCARELLA WEALTH PARTNERS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/1991, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Alice Catherine Baboushkin'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®
Experience
Current
February 27, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 50 Parsippany Road Suite 301, Parsippany, NJ 07054RIA
CRD#: 105644
PARSIPPANY, NJ
Current
April 13, 1992 - Present
CETERA ADVISORS LLC
Office #2: 50 Parsippany Road Suite 301, Parsippany, NJ 07054BD
CRD#: 10299
Delray Beach, FL
Past
November 6, 2008 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
DENVILLE, NJ
Past
April 10, 2007 - November 3, 2008
CETERA ADVISORS LLC
RIA
CRD#: 10299
DENVILLE, NJ
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
Alabama(1/4/2022)
RR
Arizona(4/3/2014)
RR
California(4/3/2014)
RR
Colorado(4/3/2014)
RR
Connecticut(4/3/2014)
RR
Delaware(4/3/2014)
RR
Florida(10/22/2008)
IAR
Florida(2/27/2024)
RR
Georgia(4/3/2014)
RR
Illinois(1/4/2022)
RR
Iowa(4/3/2014)
RR
Kentucky(4/3/2014)
RR
Louisiana(9/2/2025)
RR
Maine(1/4/2022)
RR
Maryland(4/3/2014)
RR
Massachusetts(4/3/2014)
RR
Michigan(4/3/2014)
RR
Minnesota(1/4/2022)
RR
Mississippi(1/4/2022)
RR
New Jersey(4/21/1992)
IAR
New Jersey(12/17/2024)
RR
New Mexico(1/4/2022)
RR
New York(4/3/2014)
RR
North Carolina(4/4/2014)
RR
Ohio(4/4/2014)
RR
Oklahoma(1/4/2022)
RR
Pennsylvania(4/3/2014)
RR
Rhode Island(1/4/2022)
RR
South Carolina(4/3/2014)
RR
Tennessee(2/5/2024)
RR
Texas(4/3/2014)
IAR
Texas(3/21/2024)
RR
Vermont(4/3/2014)
RR
Virginia(4/3/2014)
RR
Wisconsin(1/4/2022)
RR
Wyoming(4/3/2014)
Exams
State Security Law Exam
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
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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.
