Lucy Digioia

CETERA INVESTMENT ADVISERS LLC

LAKEWOOD, NJ

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CRD#: 2218472

Professional summary

Lucy Digioia is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lakewood, New Jersey and CETERA WEALTH SERVICES, LLC located in Lakewood, New Jersey.

Lucy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Lucy has worked at 12 firms and has passed the Series 66, SIE, Series 7 and Series 6 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 ENTITY:UBER; No; 1255 LAKEWOOD RD UNIT C-17; TOMS RIVER; NJ; 08735; TRANSPORTATION; DRIVER; 6/2/2017; 40; 0; PROVIDE TRANSPORTATION/DRIVER|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1255 LAKEWOOD RD UNIT C-17; TOMS RIVER; NJ; 08755; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/29/2015; 0; 0; SALES OF FIXED INSURANCE PRODUCTS|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucy Digioia'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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LAKEWOOD, NJ

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LAKEWOOD, NJ

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 13, 2016 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

TOMS RIVER, NJ

Past

June 29, 2015 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

TOMS RIVER, NJ

Past

October 3, 2012 - July 3, 2015

SANTANDER SECURITIES LLC

CRD#: 41791

TOMS RIVER, NJ

Past

September 19, 2012 - July 3, 2015

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

TOMS RIVER, NJ

Past

March 15, 2012 - September 19, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

TOMS RIVER, NJ

Past

March 15, 2012 - September 19, 2012

LPL FINANCIAL LLC

CRD#: 6413

TOMS RIVER, NJ

Past

November 26, 2010 - March 14, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TOMS RIVER, NJ

Past

November 26, 2010 - March 14, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TOMS RIVER, NJ

Past

January 1, 2004 - December 8, 2010

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

TINTON FALLS, NJ

Past

January 1, 2004 - December 8, 2010

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

TINTON FALLS, NJ

Past

June 11, 2003 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

SPRING LAKE HEIGHTS, NJ

Past

September 11, 2002 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

June 14, 2002 - August 27, 2002

VFINANCE INVESTMENTS, INC

CRD#: 44962

BOCA RATON, FL

Past

March 6, 2000 - June 14, 2002

SOMERSET FINANCIAL GROUP, INC.

CRD#: 46507

PRINCETON, NJ

Past

August 28, 1992 - March 30, 2000

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

May 5, 1992 - July 13, 1992

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

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

Arizona
(1/13/2022)

Delaware
(8/24/2021)

Florida
(6/11/2021)

New Jersey
(6/9/2021)

IAR

New Jersey
(6/29/2023)

North Carolina
(8/18/2021)

Tennessee
(1/4/2023)

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

IAR

Series 66

Date: 9/25/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/4/1992

Investment Company Products/Variable Contracts Representative 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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Firm Stability Insights

Lucy Digioia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucy Digioia's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

VFINANCE INVESTMENTS, INC

SOMERSET FINANCIAL GROUP, INC.

FLEET ENTERPRISES, INC.

USLIFE EQUITY SALES CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2002

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1998

Series 6

Date: 5/4/1992

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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