Tonia Gustafson

SABBIA FARO WEALTH MANAGEMENT LLC

Brooklyn, NY

Some features on this profile are disabled

CRD#: 2265097

Professional summary

Tonia Gustafson, who also goes by Tonia Ceraolo, is a registered financial advisor currently at SABBIA FARO WEALTH MANAGEMENT LLC located in Brooklyn, New York.

Tonia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Tonia has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tonia Ceraolo

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.

I am a Trustee on 6 Trusts from my prior employment with the Cooper Family Office. My salary ended as the Director of the family office on 10/31/2020. The Cooper Trusts began compensating me on 11/1/2020 only for my work as a trustee on these 6 Trusts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tonia Gustafson'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

October 25, 2021 - Present

SABBIA FARO WEALTH MANAGEMENT LLC

RIA

CRD#: 306358

Brooklyn, NY

Past

September 23, 1994 - October 24, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 15, 1992 - September 30, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

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".

SABBIA FARO WEALTH MANAGEMENT LLC

SABBIA FARO WEALTH MANAGEMENT LLC | TDL FAMILY OFFICE, LLC

CRD#: 306358 / SEC#: 801-132229

RIA

Registered Investment Advisory firm - (3/24/2025 Approved)

New York

Registered Investment Advisory firm - (4/7/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New York
(10/25/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/17/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/18/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/14/1992

General Securities Representative Examination

Current Firm

SABBIA FARO WEALTH MANAGEMENT LLC

SABBIA FARO WEALTH MANAGEMENT LLC | TDL FAMILY OFFICE, LLC

CRD#: 306358 / SEC#: 801-132229

RIA

Registered Investment Advisory firm - (3/24/2025 Approved)

New York

Registered Investment Advisory firm - (4/7/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Brooklyn, NY

Mailing Address

Phone number

(917) 502-4137

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SFWM FIRM BROCHURE (11/10/2025)

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 36,952,876

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Tonia Gustafson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tonia Gustafson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SABBIA FARO WEALTH MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

SABBIA FARO WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2019

Series 63

Date: 9/18/1992

Series 7

Date: 9/14/1992

Current Firm

SABBIA FARO WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SABBIA FARO WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors