PF
Patrick J. Fillette
CETERA INVESTMENT ADVISERS LLC
NEW PALTZ, NY 12561
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CRD#: 2346579
PF
Professional summary
Patrick Joseph Fillette, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Paltz, New York and CETERA FINANCIAL SPECIALISTS LLC located in New Paltz`, New York.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Patrick has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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.
1) NAME OF OTHER BUSINESS: HIGH PEAKS WEST PROPERTY LLC; INVESTMENT RELATED: NO ADDRESS: 417 LAKE SIMOND RD TUPPERLAKE, NY 12986; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 2/2020; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 2-5 ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: VACATION HOME RENTAL ON AIRBNB; 2) NAME OF OTHER BUSINESS: CLEARPATH ADVISORS, INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: PRESIDENT/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; 3) NAME OF OTHER BUSINESS: ADIRONDACK WEST PROPERTIES LLC; INVESTMENT RELATED: NO; ADDRESS: 87 PARK ST, TUPPER LAKE, NY 12986; NATURE OF BUSINESS: LLC FOR COMMERCIAL BUILDING; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENT COMMERCIAL BUILDING SPACE;
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Joseph Fillette'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: 2001
Experience
Current
April 12, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 70 N. Putt Corners Rd, New Paltz, NY 12561RIA
CRD#: 105644
NEW PALTZ, NY
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 70 N. Putt Corners Road, New Paltz`, NY 12561BD
CRD#: 10358
New Paltz`, NY
Past
June 2, 1993 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, 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
Arizona(1/2/2014)
RR
Colorado(12/7/2023)
RR
Connecticut(3/30/2009)
RR
Florida(11/4/2010)
RR
Iowa(1/26/2022)
RR
Maryland(10/3/2022)
RR
Massachusetts(8/8/2018)
RR
Nevada(4/27/2018)
RR
New Jersey(7/15/2014)
RR
New York(10/24/2005)
IAR
New York(4/12/2021)
RR
North Carolina(7/25/2022)
RR
Ohio(6/3/2021)
RR
Pennsylvania(9/18/2014)
RR
South Carolina(10/24/2014)
RR
Tennessee(8/21/2025)
RR
Washington(8/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 105644New Paltz, NY 12561TRUST BUT VERIFY
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