Anthony J. Mauro
CETERA INVESTMENT ADVISERS LLC
DES MOINES, IA 50312
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CRD#: 2231348
Professional summary
Anthony John Mauro, CFP®, ChFC®, CLU®, who also goes by Anthony J Mauro, Tony Mauro, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Des Moines, Iowa and CETERA WEALTH SERVICES, LLC located in Des Moines, Iowa.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Anthony has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony J Mauro | Tony Mauro
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) Slick Inc~'NIR'~3512 Ingersoll Ave~Des Moines~IA~50312~Other~President~1/1/2014~2hrs~0hrs~Oversee ordering and sales to clients of various hunting and outdoor equipment 2) Grimes Senior Apartments~'NIR'~2611 Ingersoll Ave~Des Moines~IA~50312~Rental Property Owner/Management~Owner/Sole Proprietor~1/1/2014~1hrs~1hrs~bookkeeping and general decisions 3) Tax Doctor, Inc.~'NIR'~2611 Ingersoll Ave~Des Moines~IA~50312~Tax Preparation/Accounting~President~8/6/2010~60hrs~10hrs~Tax preparation and bookkeeping; President; Prepare Tax Returns and Keep Books for Individuals and Business (per U-4 with 2002 Affirmation - 10/16/2002). 4) FFS Apartments~'NIR'~2611 Ingersoll Ave~Des Moines~IA~50312~Rental Property Owner/Management~Owner/Sole Proprietor~9/30/2013~5hrs~2hrs~bookkeeping and general decisions 5) Insurance Networking Systems~'NIR'~2611 Ingersoll Ave~Des Moines~IA~50312~Independent Insurance Agent~Vice President~10/1/2009~8hrs~8hrs~Insurance Agency; Vice President; Keeps all aspects of books, and prepares financial statements (per U-4 with 2002 Affirmation - 10/16/2002). Also sell some life insurance policies. 6) Quad M Inc~'NIR'~3512 Ingersoll Ave~Des Moines~IA~50312~Real Estate/Mortgage (I.E. Sales Agent/Broker, Mortgage Originator)~Owner~1/1/2019~10hrs~5hrs~spend time on accounting and tax 7) WINDSOR SENIOR APARTMENTS POSITION: VP NATURE: Affordable senior housing apartments we built and own. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2021 ADDRESS: 3512 Ingersoll Ave, Des Moines IA 50312, United States DESCRIPTION: I provide all of the accounting services to the business and also help with two brothers in overseeing the management of the property. 8) THE FAMILY COMPANY LLC POSITION: VP NATURE: Management company formed to manage our apartment buildings. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 3512 Ingersoll Ave, Des Moines IA 50312, United States DESCRIPTION: I provide the accounting, payroll and tax services to the company and also make decisions regarding management.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony John Mauro'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: 2012
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3512 Ingersoll Ave, Des Moines, IA 50312RIA
CRD#: 105644
DES MOINES, IA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3512 Ingersoll Ave, Des Moines, IA 50312BD
CRD#: 13572
Des Moines, IA
Past
November 6, 2002 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
DES MOINES, IA
Past
August 30, 2002 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Des Moines, IA
Past
July 21, 1994 - September 3, 2002
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
September 9, 1993 - June 21, 1994
STANTON INVESTMENT SERVICES, INC.
BD
CRD#: 29462
PLYMOUTH, MN
Past
May 6, 1992 - September 29, 1993
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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
Illinois(9/5/2025)
RR
Iowa(9/5/2025)
IAR
Iowa(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Virginia(9/5/2025)
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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Des Moines, IA 50312TRUST BUT VERIFY
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