Gary Capaldo
CETERA INVESTMENT ADVISERS LLC
STATEN ISLAND, NY 10309
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CRD#: 2539787
Professional summary
Gary Capaldo, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Staten Island, New York and CETERA ADVISORS LLC located in Staten Island, New York.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Gary has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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.)WAGNER COLLEGE - CFP INSTRUCTOR; EDUCATION; EDUCATION; START DATE:12/10/2008. 2.)FAUCI RUBANO CAPALDO TOBACCO LLC; PARTNER; START DATE:5/1/2004. 3.)FRCT WEALTH MANAGEMENT GROUP; PARTNER; DBA; START DATE:12/1/2008. 4.)GUIDED PROFESSIONAL SOLUTIONS; PARTNER; DBA; START DATE:12/7/2009. 5.) LILLIAN CAPERNA IRRECOVABLE TRUST;SUCCESSOR TRUSTEE; FIDUCIARY POSITION (TRUSTEE, POA, EXECUTOR, ETC.); START DATE 04/05/2013 6.) MJCC MANAGEMENT INC; PRESIDENT; START DATE 05/15/2014 7.) CONTROLLER - TRAVEL BASEBALL SOFTBALL MYBSA; TREASURER; NON-PROFIT ORGANIZATION; START DATE: 08/07/2018; 4 HOURS PER MONTH. 8.) TREASURER MARLBORO YOUTH BASEBALL SOFTBALL ORGANIZATION; TREASURER-BOARD OF DIRECTORS; NON-PROFIT ORGANIZATION; START DATE: 8/7/18; 4 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Gary Capaldo'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: 2003
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2420 Arthur Kill Road, Suite 300, Staten Island, NY 10309Office #2: 10 Waterside Plaza Suite 4h, New York, NY 10010RIA
CRD#: 105644
STATEN ISLAND, NY
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1000 South Ave Suite 103, Staten Island, NY 10314Office #2: 521 5th Avenue Suite 1721 17th Floor, New York, NY, 10175BD
CRD#: 10299
Staten Island, NY
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
STATEN ISLAND, NY
Past
December 9, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
STATEN ISLAND, NY
Past
December 9, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
STATEN ISLAND, NY
Past
September 16, 2008 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
RIA
CRD#: 13755
STATEN ISLAND, NY
Past
May 15, 2006 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
STATEN ISLAND, NY
Past
April 19, 2004 - June 2, 2006
ASHTON-CLAYTON FINANCIAL GROUP, LLC
BD
CRD#: 103720
STATEN ISLAND, NY
Past
October 12, 1994 - April 14, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 12, 1994 - April 14, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(9/8/2022)
RR
California(9/8/2022)
RR
Connecticut(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Nevada(9/8/2022)
IAR
New Jersey(11/12/2020)
RR
New Jersey(9/8/2022)
RR
New Mexico(9/8/2022)
IAR
New York(3/31/2021)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Ohio(8/20/2025)
RR
Pennsylvania(9/8/2022)
RR
South Carolina(9/8/2022)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Vermont(9/8/2022)
RR
Virginia(9/8/2022)
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
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.
