Deni D. Dufault

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CRD#: 2223239

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Deni Duane Dufault, ChFC®, CLU® was a registered financial professional .

Deni is a previously registered financial professional and started their career in finance in 1992. Deni had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/07/2016; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE. 2. NAME OF OTHER BUSINESS: DENI DUFAULT; INVESTMENT RELATED: NO; ADDRESS: 69 RT. 302, GLEN, NH 03860; NATURE OF BUSINESS: HOME RENTAL; START DATE: 1990; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: SECOND HOME - RENTAL PROPERTY. 3. NAME OF OTHER BUSINESS: DENI DUFAULT FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2014; POSITION/TITLE/RELATIONSHIP: REGISTERED REP; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: SALES OF SECURITIES AND INSURANCE.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Past

March 21, 2024 - December 4, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

GLEN, NH

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GLEN, NH

Past

October 3, 2016 - December 4, 2024

CETERA ADVISORS LLC

CRD#: 10299

GLEN, NH

Past

January 3, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

GLEN, NH

Past

January 10, 2001 - December 31, 2004

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

GLEN, NH

Past

February 7, 1995 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

GLEN, NH

Past

April 7, 1992 - February 8, 1995

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 4/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/4/1999

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 7/25/1997

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 4/6/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/12/1995

Investment Company Products/Variable Contracts Principal Examination

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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Deni D. Dufault

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

OSAIC FS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/7/1999

Series 63

Date: 4/6/1992

SIE

Date: 10/1/2018

Series 7

Date: 2/4/1999

Series 62

Date: 7/25/1997

Series 6

Date: 4/6/1992

Series 24

Date: 10/25/1999

Series 26

Date: 7/12/1995

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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